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Detailed Report
GREGORY WILLIAM HARMON
GREG WILLIAM HARMON, Gregory William Harmon, Gregory Harmon
CRD#: 4555010
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 1057 LAKE SUMTER LANDING
THE VILLAGES, FL 32162
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 1057 LAKE SUMTER LANDING
THE VILLAGES, FL 32162
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2002 - 2005 (3 years)2 FIRMS2005 - 2007 (1 year)2 FIRMS2019 - 2019 (<1 year)2 FIRMS2019 - 2021 (1 year)2 FIRMS2021 - 2021 (<1 year)2 FIRMS2021 - Present (3 years)BSCOTTRADE, INC. (CRD# 8206)2009 - 2018 (8 years)BCOMPASS BROKERAGE, INC. (CRD# 17086)2008 - 2009 (<1 year)IASCOTTRADE INVESTMENT MANAGEMENT (CRD# 169988)2017 - 2018 (1 year)
License(s)

State Registrations

B
Alaska 2/8/2022
B
Nevada 2/22/2022
B
Arizona 2/15/2022
B
New Hampshire 2/14/2022
B
Arkansas 2/3/2022
B
New Jersey 2/3/2022
B
California 2/3/2022
B
New Mexico 2/3/2022
B
Colorado 2/4/2022
B
New York 2/3/2022
B
Connecticut 2/3/2022
B
North Carolina 2/3/2022
B
Delaware 2/3/2022
B
North Dakota 2/7/2022
B
District of Columbia 2/7/2022
B
Ohio 2/3/2022
B
Florida 10/19/2021
B
Oregon 2/3/2022
IA
Florida 11/17/2021
B
Pennsylvania 2/3/2022
B
Georgia 2/3/2022
B
Rhode Island 2/11/2022
B
Idaho 2/4/2022
B
South Carolina 2/4/2022
B
Illinois 2/8/2022
B
Tennessee 2/3/2022
B
Indiana 2/4/2022
B
Texas 2/3/2022
B
Iowa 2/7/2022
IA
Texas 3/7/2022
B
Kansas 2/3/2022
B
Vermont 2/3/2022
B
Kentucky 2/4/2022
B
Virginia 2/3/2022
B
Maine 2/3/2022
B
Washington 2/2/2022
B
Maryland 2/3/2022
B
West Virginia 2/7/2022
B
Massachusetts 2/3/2022
B
Wisconsin 2/3/2022
B
Michigan 2/4/2022
B
Wyoming 10/3/2022
B
Minnesota 2/3/2022

SRO Registrations

B
 FINRA
B
 New York Stock Exchange

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
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
1057 LAKE SUMTER LANDING, THE VILLAGES, FL 32162
Registered with this firm since 11/17/2021
B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
1057 LAKE SUMTER LANDING, THE VILLAGES, FL 32162
OXFORD, FL
Registered with this firm since 10/18/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/01/2021 - 10/08/2021 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) OCALA, FL
B
 02/26/2021 - 10/08/2021 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) OCALA, FL
IA
 07/22/2019 - 03/02/2021 EDWARD JONES (CRD#:250) THE VILLAGES, FL
B
 07/19/2019 - 03/02/2021 EDWARD JONES (CRD#:250) THE VILLAGES, FL
IA
 01/18/2019 - 07/11/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LADY LAKE, FL
B
 01/18/2019 - 07/11/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LADY LAKE, FL
IA
 03/23/2017 - 03/07/2018 SCOTTRADE INVESTMENT MANAGEMENT (CRD#:169988) The Villages, FL
B
 04/15/2009 - 03/07/2018 SCOTTRADE, INC. (CRD#:8206) THE VILLAGES, FL
B
 04/23/2008 - 02/12/2009 COMPASS BROKERAGE, INC. (CRD#:17086) OCALA, FL
IA
 09/29/2005 - 06/18/2007 UBS FINANCIAL SERVICES INC. (CRD#:8174) OCALA, FL
B
 09/28/2005 - 06/18/2007 UBS FINANCIAL SERVICES INC. (CRD#:8174) OCALA, FL
IA
 10/17/2002 - 09/30/2005 A. G. EDWARDS & SONS, INC. (CRD#:4) THE VILLAGES, FL
B
 08/30/2002 - 09/30/2005 A. G. EDWARDS & SONS, INC. (CRD#:4) ST. LOUIS, MO
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.