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Current Employers
Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2017-05-12
GA RA APPROVED 2009-10-22
  • TX RA
    APPROVED_RES
    Since 2017-05-12
  • GA RA
    APPROVED
    Since 2009-10-22

Branch Locations

400 Perimeter Center Terrace Suite 850, Atlanta, GA 30346 • United States

Harmon Financial Advisors

400 Perimeter Center Terrace Ne Ste 850, Atlanta, GA 30346 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2003-07-18
  • GA RA
    APPROVED
    Since 2003-07-18

Branch Locations

400 Perimeter Center Terrace Ne Ste 850, Atlanta, GA 30346 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James Financial Services, Inc. Altanta GA 12/1989 Present
Raymond James Finanical Services Advisors, Inc Atlanta GA 10/2009 Present
Harmon Financial Advisors Atlanta GA 04/2007 Present
  • 12/1989 → Present
    Raymond James Financial Services, Inc.
    Altanta, GA
  • 10/2009 → Present
    Raymond James Finanical Services Advisors, Inc
    Atlanta, GA
  • 04/2007 → Present
    Atlanta, GA
Other Businesses

(1)Name of Business: Harmon Business Group, LLC dba Twisted Cycle West Cobb Address: 235 Unity Dr NW, Marietta, GA, 30064, United States Activity Type: Business Owner Position/Title: Partner Investment Related: No Start Date: 02/01/2024 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: The business is a boutique gym. My partner is my son. He is the active partner, I am the silent partner. He is a certified trainer and he runs the business. I have been working out at the gym since 2022. I continue to work out at the gym, but I have no duties or responsibilities. (2) HARMON FINANCIAL ADVISORS, Inc Address: 400 Perimeter Ctr Ter NE Ste 850, Atlanta, GA, 30346, United States Activity Type: Independent RIA Position/Title: Officer - Vice President, Partner Investment Related: Yes Start Date: 04/20/2007 Hours per month devoted to this business: 11-20 Hours per month devoted to this business during trading hours: 2-10 Description of duties: COMPLIANCE OVERSIGHT.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-11-11
S63 Uniform Securities Agent State Law Examination 1997-11-21
  • S65 Uniform Investment Adviser Law Examination
    1999-11-11
  • S63 Uniform Securities Agent State Law Examination
    1997-11-21

View on SEC IAPD

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