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Stephen Joseph Harper

Citigroup Global Markets Inc.

Potomac, MD

Rockville, MD

Bethesda, MD

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Current Employers
Citigroup Global Markets Inc.

388 Greenwich Street, New York, NY 10013 • United States

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2024-10-15
DC RA APPROVED 2024-04-12
  • MD RA
    APPROVED
    Since 2024-10-15
  • DC RA
    APPROVED
    Since 2024-04-12

Branch Locations

Cwm Retail, Sales 10101 River Road, Potomac, MD 20854 • United States

Citi Wealth Management, Sales 822 Rockville Pike, Rockville, MD 20852 • United States

Cwm Retail, Sales 8101 Wisconsin Ave, Bethesda, MD 20814 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Bank Na Washington DC 04/2010 01/2023
Wells Fargo Advisors, Llc Washington DC 10/2012 11/2016
Wells Fargo Clearing Services, Llc Washington DC 11/2016 01/2023
Pnc Investments Llc Potomac MD 01/2023 12/2023
Citigroup Washignton DC 01/2024 Present
  • 04/2010 → 01/2023
    Wells Fargo Bank Na
    Washington, DC
  • 10/2012 → 11/2016
    Wells Fargo Advisors, Llc
    Washington, DC
  • 11/2016 → 01/2023
    Wells Fargo Clearing Services, Llc
    Washington, DC
  • 01/2023 → 12/2023
    Pnc Investments Llc
    Potomac, MD
  • 01/2024 → Present
    Citigroup
    Washignton, DC
Previous Registrations
  • 2023-02-13 → 2023-12-12
    Pnc Wealth Management Llc
    Washington, DC
    Washington, DC
    Potomac, MD
    Washington, DC
  • 2014-03-18 → 2023-01-18
    Wells Fargo Clearing Services, Llc
    Washington, DC
    Columbia, MD
    Washington, DC
    Washington, DC
    Washington, DC
    Washington, DC
    Washington, DC
    Washington, DC
    Washington, DC
    Washington, DC
    Washington, DC
    Washington, DC
    Washington, DC
    Washington, DC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-01-07
S63 Uniform Securities Agent State Law Examination 2012-12-06
  • S66 Uniform Combined State Law Examination
    2014-01-07
  • S63 Uniform Securities Agent State Law Examination
    2012-12-06
Other Names
  • Joe Harper
  • Stephen Joseph Harper
  • Stephen Joseph Harper
  • Stephen Harper

View on SEC IAPD

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