Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Harleen? Claim Your ProfileHarleen Kaur is an investment professional with a focus on providing financial guidance and portfolio management services. Harleen holds several industry licenses and designations, including the Series 7, 63, 66, 9, and 10. This signifies her commitment to staying current on industry standards and offering knowledgeable advice. Harleen is a registered representative of J.P. Morgan Securities LLC, where she provides comprehensive financial solutions for individuals and businesses. Prior to joining J.P. Morgan Securities LLC, Harleen was a financial advisor with Victory Capital Services, Inc. and BBVA Securities Inc. These experiences have allowed Harleen to gain a diverse perspective and skillset in the financial industry. Harleen's dedication to her clients is reflected in her extensive registrations, spanning across various states, and her commitment to providing personalized advice and services.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
TX
06/21/2022 - Present
J.p. Morgan Securities LLC (San Antonio TX)
TX
11/29/2019 - 08/24/2020
VICTORY CAPITAL SERVICES, INC. (San Antonio TX)
TX
03/04/2019 - 08/07/2019
BBVA SECURITIES INC. (SAN ANTONIO TX)
BOTH
Issued 01/24/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/23/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/22/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/13/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/01/2020
Series 7TO - General Securities Representative Examination
BC
Issued 03/03/2019
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/29/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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