Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Francis Harmon is a financial advisor with over 27 years of experience in the industry. Harmon is currently registered with Morgan Stanley and holds licenses in several states. Harmon has previously worked at Lazard Asset Management Securities LLC, Lazard Frères & Co. LLC, Arnhold and S. Bleichroeder, Inc., Gruntal & Co. Incorporated and Hibbard Brown & Co., Inc. Harmon has a strong track record of providing financial advice to a variety of clients, including individuals, businesses, and institutions.
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.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
FL
05/15/2020 - Present
Morgan Stanley (Palm Beach Gardens FL)
NY
04/01/2004 - 03/31/2017
LAZARD ASSET MANAGEMENT SECURITIES LLC (NEW YORK NY)
NY
03/13/1996 - 04/01/2004
LAZARD FRERES & CO. LLC (NEW YORK NY)
NY
06/30/1995 - 03/25/1996
ARNHOLD AND S. BLEICHROEDER, INC. (NEW YORK NY)
NY
10/06/1994 - 03/17/1995
GRUNTAL & CO. INCORPORATED (NEW YORK NY)
NY
08/31/1994 - 09/15/1994
HIBBARD BROWN & CO., INC. (NEW YORK NY)
IA
Issued 05/19/2023
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/24/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/24/2012
Series 31 - Futures Managed Funds Examination
BC
Issued 08/29/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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