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John Atwood Harding

LPl Financial LLC

Tulsa, OK

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
OK RA APPROVED 2018-06-04
TX RA APPROVED 2018-06-04
  • OK RA
    APPROVED
    Since 2018-06-04
  • TX RA
    APPROVED
    Since 2018-06-04

Branch Locations

7633 E 63Rd Pl Ste 530, Tulsa, OK 74133 • 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
Cetera Advisors Llc Denver CO 08/2015 06/2018
Lpl Financial Llc Tulsa OK 06/2018 Present
  • 08/2015 → 06/2018
    Cetera Advisors Llc
    Denver, CO
  • 06/2018 → Present
    Lpl Financial Llc
    Tulsa, OK
Previous Registrations
  • 2015-08-07 → 2018-06-28
    Cetera Advisors Llc
    Tulsa, OK
  • 2013-12-12 → 2015-08-07
    Arvest Wealth Management
    Tulsa, OK
    Tulsa, OK
    Tulsa, OK
    Tulsa, OK
    Tulsa, OK
    Tulsa, OK
    Tulsa, OK
    Tulsa, OK
  • 2004-06-11 → 2005-12-19
    Ofi Private Investments Inc
    New York, NY
  • 2002-09-26 → 2003-01-27
    Quick & Reilly, Inc.
    Greemwood Village, CO
  • 2001-05-17 → 2002-10-11
    Cuna Brokerage Services, Inc.
    Denver, CO
Other Businesses

1)6/4/18- Ascendus Financial Advisors- DBA for LPL Business (entity for LPL business)- Inv. Related- Tulsa, OK- start dat 1/1/16- 100%

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-12-12
S65 Uniform Investment Adviser Law Examination 1998-09-17
S63 Uniform Securities Agent State Law Examination 1995-12-13
  • S66 Uniform Combined State Law Examination
    2013-12-12
  • S65 Uniform Investment Adviser Law Examination
    1998-09-17
  • S63 Uniform Securities Agent State Law Examination
    1995-12-13
Other Names
  • John A Harding
  • John A (Jr) Harding
  • John Atwood Harding

View on SEC IAPD

Other Firms

STATE FARM INVESTMENT MANAGEMENT CORP.
OAK CREEK PRIVATE WEALTH MANAGEMENT LLC
PINNACLE INVESTMENT ADVISORS
NATIVE AMERICAN FUND ADVISORS LLC
AMERITAS ADVISORY SERVICES, LLC
ARVEST WEALTH MANAGEMENT
PRESCOTT GROUP CAPITAL MANAGEMENT L.L.C.
KQ WEALTH MANAGEMENT LLC

Other Investors

OANH STANGER
DAVID MONROE POARCH
ROBERT BRETT KRAMER
AIMEE NICOLE BOYER
ROBERT WILIAM MOORE
JOEL BERNARD KANTOR
Jayme Don Fowler
Anthony Charles Dionisio

Other Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · Tulsa, OK
OAK CREEK PRIVATE WEALTH MANAGEMENT LLC · TULSA, OK
PINNACLE INVESTMENT ADVISORS · TULSA, OK
NATIVE AMERICAN FUND ADVISORS LLC · TULSA, OK
AMERITAS ADVISORY SERVICES, LLC · TULSA, OK
ARVEST WEALTH MANAGEMENT · Tulsa, OK
PRESCOTT GROUP CAPITAL MANAGEMENT L.L.C. · TULSA, OK
KQ WEALTH MANAGEMENT LLC · TULSA, OK

More in Tulsa, OK

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