DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Christopher Neal Harmon
Chartered Financial Consultant
Feed of 09/15/2026
At current firm
8 y
since Aug 10, 2018
In the industry
35 y
since Aug 22, 1991 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Commonwealth Financial Network national BD currentsince Aug 10, 2018 · Bloomington, In
- MML Investors Services, LLC BD affiliatedMar 25, 2017 to Aug 23, 2018 · Palm Coast, Fl
- Msi Financial Services, Inc. formerJan 2, 2015 to Mar 25, 2017 · Palm Coast, Fl
- Ifs Planning Strategies, LLC unclassifiedApr 18, 2012 to Oct 21, 2019 · Bloomington, In
- New England Securities Corporation formerMay 1, 2002 to Jan 2, 2015 · Bloomington, In
Moves
a registration end followed by a registration begin elsewhere
- Ifs Planning Strategies, LLC to Msi Financial Services, Inc.left Oct 21, 2019, registered Jan 2, 2015 (-1753 days) · Other · moved with a team
- MML Investors Services, LLC to Commonwealth Financial Networkleft Aug 23, 2018, registered Aug 10, 2018 (-13 days) · Affiliated broker-dealer or bank to another
- Msi Financial Services, Inc. to MML Investors Services, LLCleft Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- New England Securities Corporation to Ifs Planning Strategies, LLCleft Jan 2, 2015, registered Apr 18, 2012 (-989 days) · Other · moved with a team
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address