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Detailed Report
RICHARD DAVID JOHN HARIG
RICHARD DAVID HARIG, RICK HARIG
CRD#: 871710
IA
Investment Adviser
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Previous Broker
FORUM FINANCIAL MANAGEMENT, LPCRD#: 145706 LENOIR, NC
Registration History
19801985199019952000200520102015202020252 FIRMS1997 - 1997 (<1 year)IAFORUM FINANCIAL MANAGEMENT, LP (CRD# 145706)2017 - Present (7 years)IALEGACY RESOURCES NC, LLC (CRD# 123144)2002 - Present (23 years)BGREAT POINT CAPITAL LLC (CRD# 114203)2018 - 2024 (6 years)BTHE LEADERS GROUP, INC. (CRD# 37157)2016 - 2020 (3 years)BLICCAR SECURITIES, LLC (CRD# 151034)2015 - 2018 (2 years)BHEDGE HARBOR INC. (CRD# 44324)2011 - 2013 (1 year)BTHE TAVENNER COMPANY (CRD# 18004)2009 - 2009 (<1 year)BSPIKE FINANCIAL SERVICES, LLC (CRD# 112193)2007 - 2007 (<1 year)BVALMARK SECURITIES, INC. (CRD# 31243)2002 - 2005 (3 years)BCADARET, GRANT & CO., INC. (CRD# 10641)2000 - 2002 (1 year)BALLMERICA INVESTMENTS, INC. (CRD# 3960)1998 - 2000 (2 years)BMULTI-FINANCIAL SECURITIES COR... (CRD# 10299)1994 - 1996 (2 years)BCOMMON GOAL SECURITIES, INC. (CRD# 15503)1987 - 1989 (2 years)BGOVERNORS CAPITAL, INC. (CRD# 13677)1988 - 1989 (1 year)BHUTCHISON FINANCIAL CORPORATION (CRD# 14491)1985 - 1988 (2 years)BSECURITIES GROUP OF NORTH AMERICA (CRD# 15155)1987 - 1987 (<1 year)BM. SEAR SECURITIES, INC. (CRD# 14050)1985 - 1987 (1 year)BSOURCE SECURITIES, INC. (CRD# 8026)1984 - 1984 (<1 year)BFSC SECURITIES CORPORATION (CRD# 7461)1983 - 1983 (<1 year)BWESTAMERICA FINANCIAL CORPORATION (CRD# 883)1979 - 1983 (4 years)
License(s)

State Registrations

IA
North Carolina 1/26/2024
Current Registration(s)
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FORUM FINANCIAL MANAGEMENT, LP (CRD#:145706)
LENOIR, NC
Registered with this firm since 6/20/2017
IA
LEGACY RESOURCES NC, LLC (CRD#:123144)
LENOIR, NC
Registered with this firm since 1/18/2002
Previous Registration(s)
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 06/26/2018 - 12/31/2024 GREAT POINT CAPITAL LLC (CRD#:114203) CHICAGO, IL
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 07/27/2016 - 06/30/2020 THE LEADERS GROUP, INC. (CRD#:37157) LITTLETON, CO
B
 05/21/2015 - 02/16/2018 LICCAR SECURITIES, LLC (CRD#:151034) CHICAGO, IL
B
 09/30/2011 - 07/15/2013 HEDGE HARBOR INC. (CRD#:44324) NEW YORK, NY
B
 06/15/2009 - 10/14/2009 THE TAVENNER COMPANY (CRD#:18004) SPRINGFIELD, OH
B
 01/24/2007 - 04/02/2007 SPIKE FINANCIAL SERVICES, LLC (CRD#:112193) CHICAGO, IL
B
 01/04/2002 - 01/18/2005 VALMARK SECURITIES, INC. (CRD#:31243) AKRON, OH
B
 08/09/2000 - 01/07/2002 CADARET, GRANT & CO., INC. (CRD#:10641) SYRACUSE, NY
B
 01/14/1998 - 08/14/2000 ALLMERICA INVESTMENTS, INC. (CRD#:3960) WORCESTER, MA
B
 01/20/1997 - 12/10/1997 MULTI-FINANCIAL SECURITIES CORPORATION (CRD#:10299) GREENWOOD VILLAGE, CO
B
 01/10/1997 - 02/10/1997 MUTUAL SERVICE CORPORATION (CRD#:4806) BOSTON, MA
B
 06/15/1994 - 12/31/1996 MULTI-FINANCIAL SECURITIES CORPORATION (CRD#:10299) GREENWOOD VILLAGE, CO
B
 07/17/1987 - 08/15/1989 COMMON GOAL SECURITIES, INC. (CRD#:15503)
B
 05/18/1988 - 07/25/1989 GOVERNORS CAPITAL, INC. (CRD#:13677)
B
 08/21/1985 - 03/26/1988 HUTCHISON FINANCIAL CORPORATION (CRD#:14491)
FINRA expelled the firm on 12/27/1993
B
 05/12/1987 - 09/16/1987 SECURITIES GROUP OF NORTH AMERICA (CRD#:15155)
B
 12/27/1985 - 02/11/1987 M. SEAR SECURITIES, INC. (CRD#:14050)
B
 06/19/1984 - 08/03/1984 SOURCE SECURITIES, INC. (CRD#:8026)
B
 10/13/1983 - 12/16/1983 FSC SECURITIES CORPORATION (CRD#:7461)
B
 09/24/1979 - 10/11/1983 WESTAMERICA FINANCIAL CORPORATION (CRD#:883)
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.