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1 Transam Plaza Drive Suite 230, Oakbrook Terrace, IL 60181-4285 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-08-05 |
| IL | RA | APPROVED | 2012-02-03 |
Branch Locations
1 Transam Plaza Drive Suite 230, Oakbrook Terrace, IL 60181-4285 • United States
Spring, TX • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Proequities, Inc. | Streamwood | IL | 05/1999 | 06/2018 |
| Harvest Investment Services, Llc | Spring | TX | 12/2011 | Present |
1. HARVEST FINANCIAL PLANNING GROUP; INVESTMENT RELATED; 3223 Legends Mist Dr, Spring, Texas 77386, OFFICE MANAGER/DESIGNATED PRINCIPAL/ADMIN TO TIM NEWELL; STARTED 03/2001,80 HRS/MONTH. 2. DBA NAME AND FIXED INSURANCE: HARVEST FINANCIAL PLANNING,NOT INVESTMENT RELATED,SAME ADDRESS,SELL OF INSURANCE PRODUCTS,REGISTERED REP,STARTED 03/2001, 80 HRS/MO. HARVEST INVESTMENT SERVICES, LLC POSITION: DIRECTOR OF INVESTMENTS AND TRADING NATURE: INVESTMENT ADVISORY SERVICES INVESTMENT RELATED: YES NUMBER OF HOURS: 200 INVESTMENT RELATED HOURS: 180 START DATE: 02/06/2012 ADDRESS: 3223 Legends Mist Dr, Spring, Texas 77386. DESCRIPTION: PORTFOLIO MANAGEMENT, TRADING OF INVESTMENT STRATEGIES AND CLIENTS ACCOUNTS. HARVEST FINANCIAL PLANNING POSITION: Designated Principal NATURE: Financial Planning INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 8 START DATE: 07/01/1999 ADDRESS: 3223 Legends Mist Dr, Spring, Texas 77386. DESCRIPTION: Designated Principal. Director of Investments & Trading INSURANCE AGENT POSITION: Insurance Agent NATURE: Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2001 ADDRESS: 3223 Legends Mist Dr, Spring, Texas 77386. DESCRIPTION: Insurance quotes and sales of insurance products when appropriate.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2001-03-28 |
| S66 | Uniform Combined State Law Examination | 1999-06-08 |
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