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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VA | RA | APPROVED | 2024-06-14 |
Branch Locations
3140 Chaparral Drive Building C Suite 100, Roanoke, VA 24018 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Life Group | Roanoke | VA | 06/2011 | 12/2017 |
| Patrick Harmon-Mowing | Roanoke | VA | 06/2007 | Present |
| Equity Services, Inc. | Roanoke | VA | 04/2012 | 01/2018 |
| Untersee & Proutey Financial | Roanoke | VA | 01/2018 | Present |
| Investacorp Advisory Services | Miami | FL | 01/2018 | 07/2020 |
| Investacorp Inc | Miami | FL | 01/2018 | 07/2020 |
| Securities America, Inc. | Roanoke | VA | 07/2020 | 06/2024 |
| Securities America Advisors, Inc. | Roanoke | VA | 07/2020 | 06/2024 |
| Osaic Wealth, Inc. | Roanoke | VA | 06/2024 | Present |
HARMON MOWING AND LANDSCAPING POSITION: Consultant NATURE: Help with family mowing and landscaping business. Scheduling and consulting. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 05/01/1995 ADDRESS: 3067 SEDGEFIELD RD, ROANOKE VA 24015 DESCRIPTION: Take phone calls from time to time and help my brothers schedule their business. Outside of normal business hours for my investment business PATRICK HARMON POSITION: Worker NATURE: Life and Health Insurance business. Life insurance products and Medicare Supplements INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 4 START DATE: 06/01/2011 ADDRESS: 3433 Brambleton Ave, Suite 205B, Roanoke VA 24018 DESCRIPTION: Discuss life insurance and or medicare supplements with clients as needed. Help them find a good company and good policy as needed. PATRICK HARMON POSITION: Advisor NATURE: Advisory Business for securities. Registered Investment Advisor INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 01/01/2018 ADDRESS: 3433 Brambleton Ave, Suite 205 B, Roanoke VA 24018 DESCRIPTION: Create and monitor portfolios for clients based on their individual situations DBA - Harmon & Proutey Financial Group
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-10-12 |
| S63 | Uniform Securities Agent State Law Examination | 2012-02-08 |
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