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HA

Harry Aylesworth

CRD# 9291·Registered 1972 - 1998
Previously Registered: Being a previously registered professional could mean that Harry is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Harry Aylesworth was a registered financial advisor. Harry was a previously registered financial professional and started their career in finance 1972 - 1998. Harry had worked at 5 firms and has passed the Series 63, Series 1 and Series 40 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

54 years in the financial services industry

Current & Past Employments

HDA SERVICE CORPORATION·CRD# 6145
BD
Little Switzerland, NC
November 12, 1997 - May 16, 1998
O. R. SECURITIES, INC.·CRD# 10216
BD
October 8, 1985 - April 23, 1986
HDA SERVICE CORPORATION·CRD# 6145
BD
Little Switzerland, NC
February 5, 1985 - August 21, 1997
WZW FINANCIAL SERVICES, INC.·CRD# 5717
BD
November 11, 1976 - October 8, 1985
HARTFORD VARIABLE ANNUITY LIFE LIFE INSURANCE COMPANY·CRD# 4291
BD
November 28, 1972 - August 20, 1974
RAYMOND JAMES & ASSOCIATES, INC.·CRD# 705
BD
November 1, 1972 - December 15, 1976

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Current Firm

HS
HDA SERVICE CORPORATION

HDA SERVICE CORPORATION | MARKET SECURITIES, LTD. | MARKET SECURITIES CORPORATION

CRD#: 6145 / SEC#: 8-16959
BD
Terminated by SEC on 02/17/2004

Contact Information

Established

Florida since 01/28/1972

Firm Type

Corporation

Fiscal Year End

September

Documents

Direct owners and executive officers

NamePositionCRD#
AYLESWORTH, DEBORAH DAWNPRESIDENT & SECRETARY825481

Disclosures

Regulatory Event

4

Civil Event

3

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 1997About the Series 63 exam

Series 1 — Registered Representative Examination

Passed Oct 1972

Series 40 — Registered Principal Examination

Passed Feb 1976

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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