Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Caprese? Claim Your ProfileCaprese G. Harmon is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. Harmon has been in the industry since February 2017 and has a combined state law exam and general securities representative exam. Harmon is registered with the states of Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Nevada, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, and Wyoming. Harmon was previously employed at Northwestern Mutual Investment Services, LLC in King of Prussia, Pennsylvania.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
PA
01/15/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (JENKINTOWN PA)
PA
12/14/2016 - 04/30/2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (KNG OF PRUSSIA PA)
BOTH
Issued 12/08/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/08/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/08/2018
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/20/2018
Series 7 - General Securities Representative Examination
BC
Issued 12/14/2016
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Caprese Harmon is the right advisor for you? Invested Better is here to help.
