Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steve? Claim Your ProfileSteve C. Harman is a financial advisor with over 30 years of experience in the industry. Steve is registered with Raymond James & Associates, Inc. and has held previous positions at Merrill Lynch, Pierce, Fenner & Smith Incorporated and Bank of America, NA. Steve is a Series 65, Series 63, Series 10, Series 9, Series 31 and Series 7 licensed professional. Steve's experience and certifications allows him to provide a wide range of financial services including financial planning, pension consulting, educational seminars, selection of other advisors and portfolio management.
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.
Please see note in schedule d - miscellaneous
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
WA
03/07/2022 - Present
Raymond James & Associates, Inc. (Spokane WA)
WA
11/12/1992 - 03/04/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SPOKANE WA)
IA
Issued 01/09/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/05/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/22/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/29/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/17/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 11/10/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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