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Detailed Report
ALAN MITCHELL HARTER
ALAN M HARTER
CRD#: 2165788
IA
Investment Adviser
B
Broker
PACTOLUSCRD#: 155195 8614 WESTWOOD CENTER DRIVE
SUITE 620
VIENNA, VA 22182
PACTOLUS CAPITAL PARTNERSCRD#: 7518 8614 WESTWOOD CENTER DRIVE
suite 620
VIENNA, VA 22182
Registration History
19952000200520102015202020252 FIRMS2003 - 2005 (2 years)2 FIRMS2006 - 2009 (3 years)2 FIRMS2009 - 2011 (1 year)IAPACTOLUS (CRD# 155195)2011 - Present (14 years)BPACTOLUS CAPITAL PARTNERS (CRD# 7518)2014 - Present (10 years)BBLACKBOOK CAPITAL LLC (CRD# 123234)2012 - 2012 (<1 year)BFOREFRONT CAPITAL MARKETS LLC (CRD# 151812)2011 - 2012 (<1 year)BUBS PAINEWEBBER INC. (CRD# 8174)1995 - 2002 (7 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1991 - 1995 (4 years)IAUBS PAINEWEBBER INC. (CRD# 8174)1997 - 2002 (5 years)
License(s)

State Registrations

B
California 8/30/2019
B
Missouri 3/2/2023
B
Delaware 10/11/2019
B
New York 9/3/2019
B
District of Columbia 9/23/2019
B
Ohio 4/1/2021
B
Florida 9/21/2017
B
Texas 12/3/2019
B
Illinois 11/19/2019
IA
Virginia 1/28/2011
B
Maryland 9/27/2019
B
Virginia 10/14/2014
B
Michigan 3/28/2021
B
Wisconsin 4/1/2021

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PACTOLUS (CRD#:155195)
8614 WESTWOOD CENTER DRIVE SUITE 620, VIENNA, VA 22182
Registered with this firm since 1/28/2011
B
PACTOLUS CAPITAL PARTNERS (CRD#:7518)
8614 WESTWOOD CENTER DRIVE suite 620, VIENNA, VA 22182
8614 WESTWOOD CENTER DRIVE SUITE 620, VIENNA, VA 22182
Registered with this firm since 9/25/2014
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 07/26/2012 - 10/12/2012 BLACKBOOK CAPITAL LLC (CRD#:123234)
FINRA expelled the firm on 06/28/2016
HILLSIDE, NJ
B
 07/25/2011 - 05/25/2012 FOREFRONT CAPITAL MARKETS LLC (CRD#:151812) NEW YORK, NY
IA
 06/01/2009 - 02/07/2011 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) ALEXANDRIA, VA
B
 06/01/2009 - 02/07/2011 MORGAN STANLEY SMITH BARNEY (CRD#:149777) ALEXANDRIA, VA
IA
 01/20/2006 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) ALEXANDRIA, VA
B
 01/20/2006 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) ALEXANDRIA, VA
IA
 05/27/2003 - 12/31/2005 WACHOVIA SECURITIES, LLC (CRD#:19616) MCLEAN, VA
B
 05/27/2003 - 12/31/2005 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
IA
 07/08/1997 - 12/02/2002 UBS PAINEWEBBER INC. (CRD#:8174) SACRAMENTO, CA
B
 10/16/1995 - 12/02/2002 UBS PAINEWEBBER INC. (CRD#:8174) WEEHAWKEN, NJ
B
 09/05/1991 - 10/24/1995 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.