James Harmon is a registered investment advisor, based in Enfield, CT, with 25 years of industry experience.
Location
Enfield, CT
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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James works part-time as a delivery driver for Door Dash, primarily during dinner hours and weekends. This takes about 10-20% of his time.
Employment History
Current Registrations
Raymond James Financial Services, INC.
January 2024 - Present · 2 yrs 4 mos
Raymond James Financial Services Advisors, INC
January 2024 - Present · 2 yrs 4 mos
Raymond James Financial Services, INC.Broker
January 2024 - Present · 2 yrs 4 mos
Raymond James & Associates, INC.
November 2021 - Present · 4 yrs 6 mos
Raymond James & Associates, INC.
November 2021 - Present · 4 yrs 6 mos
Raymond James & Associates, INC.Broker
November 2021 - Present · 4 yrs 6 mos
Previous Registrations
Securities America, INC.Broker
April 2021 - November 2021 · 7 mos
Triad Advisors LLCBroker
April 2021 - November 2021 · 7 mos
VALIC Financial Advisors, INC.
October 2015 - March 2016 · 5 mos
Woodbury Financial Services, INC.Broker
March 2014 - November 2021 · 7 yrs 8 mos
Royal Alliance Associates, INC.Broker
January 2011 - November 2021 · 10 yrs 10 mos
Fsc Securities CorporationBroker
January 2011 - November 2021 · 10 yrs 10 mos
Sagepoint Financial, INC.
August 2009 - November 2021 · 12 yrs 3 mos
Sagepoint Financial, INC.Broker
October 2005 - November 2021 · 16 yrs 1 mo
Sunamerica Securities, INC.Broker
May 2003 - October 2005 · 2 yrs 5 mos
American Express Financial Advisors INC.Broker
December 1999 - August 2002 · 2 yrs 8 mos
Ids Life Insurance CompanyBroker
December 1999 - August 2002 · 2 yrs 8 mos
State Registrations1 state
CT
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.