John Paul Harms

Current Employers

Rfg Advisory, Llc

1400 Urban Center Drive Suite 475, Vestavia Hills, AL 35242-2245 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2022-08-19
TX	RA	APPROVED	2022-08-19

NY RA
APPROVED

Since 2022-08-19
TX RA
APPROVED

Since 2022-08-19

Branch Locations

Webster, NY • United States

1400 Urban Center Drive Suite 475, Vestavia Hills, AL 35242-2245 • 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

Organization	City	State	From	To
Axa Advisors, Llc	New York	NY	11/2007	08/2018
American Portfolios Financial Services, Inc.	Holbrook	NY	08/2018	08/2022
Private Client Services	Pittsford	NY	08/2022	04/2026
Rfg Advisory, Llc Dba Sixpoint Financial Partners	Pittsford	NY	08/2022	03/2026
American Portfolios Advisors, Inc.	Holbrook	NY	08/2018	08/2022
Rfg Advisory Llc	Webster	NY	04/2026	Present
Private Client Services	Webster	NY	04/2026	Present

11/2007 → 08/2018

Axa Advisors, Llc

New York, NY
08/2018 → 08/2022

American Portfolios Financial Services, Inc.

Holbrook, NY
08/2022 → 04/2026

Private Client Services

Pittsford, NY
08/2022 → 03/2026

Rfg Advisory, Llc Dba Sixpoint Financial Partners

Pittsford, NY
08/2018 → 08/2022

American Portfolios Advisors, Inc.

Holbrook, NY
04/2026 → Present

Rfg Advisory Llc

Webster, NY
04/2026 → Present

Private Client Services

Webster, NY

Previous Registrations

2018-08-17 → 2022-08-19

American Portfolios Advisors, Inc

Holbrook, NY
2010-08-25 → 2018-08-30

Equitable Advisors, Llc

Rochester, NY

Penfield, NY
2005-08-03 → 2007-11-05

Wells Fargo Advisors Financial Network, Llc

Chicago, IL

Chicago, IL

Other Businesses

1) ASH BROKERAGE. INVESTMENT-RELATED. 888 S HARRISON ST, #900, FORT WAYNE, IN 46802. INSURANCE. AGENT. 80 HRS/MO; 80 DURING TRADING HRS. 2) KAFL INSURANCE RESOURCES. INVESTMENT-RELATED. 800 LINDEN AVENUE, ROCHESTER, NY 14625. INSURANCE. AGENT. 80 HRS/MO; 80 DURING TRADING HRS. 3) RFG ADVISORY LLC. INVESTMENT-RELATED. 1400 URBAN CENTER DRIVE, STE 475, VESTAVIA HILLS, AL 35242. RIA. 160 HRS/MO; 160 DURING TRADING HRS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2010-04-23
S66	Uniform Combined State Law Examination	2005-07-27

S65 Uniform Investment Adviser Law Examination

2010-04-23
S66 Uniform Combined State Law Examination

2005-07-27

Designations

Other Names

John P. Harms
John P Harms

View on SEC IAPD