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Current Employers
Harvest Investment Services, Llc

1 Transam Plaza Drive Suite 230, Oakbrook Terrace, IL 60181-4285 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-08-05
IL RA APPROVED 2012-02-03
  • TX RA
    APPROVED
    Since 2022-08-05
  • IL RA
    APPROVED
    Since 2012-02-03

Branch Locations

1 Transam Plaza Drive Suite 230, Oakbrook Terrace, IL 60181-4285 • United States

Spring, TX • 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
Proequities, Inc. Streamwood IL 05/1999 06/2018
Harvest Investment Services, Llc Spring TX 12/2011 Present
Previous Registrations
  • 2005-03-22 → 2018-07-03
    Concourse Financial Group Securities, Inc.
    Oakbrook Terrace, IL
    Elmhurst, IL
Other Businesses

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.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2001-03-28
S66 Uniform Combined State Law Examination 1999-06-08
  • S63 Uniform Securities Agent State Law Examination
    2001-03-28
  • S66 Uniform Combined State Law Examination
    1999-06-08

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