Harold R. Weiner
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Harold Roy Weiner was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1986. Harold had worked at 6 firms and has passed the SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2004 - December 15, 2020
CPS FINANCIAL & INSURANCE SERVICES, INC.
July 1, 2002 - December 20, 2002
CAPITAL SECURITIES INVESTMENT CORPORATION
February 1, 2000 - July 1, 2002
OLD SLIP CAPITAL MANAGEMENT, INC.
February 26, 1997 - June 5, 1998
LOCUST STREET SECURITIES, INC.
April 13, 1987 - August 3, 1988
TRANSAMERICA SECURITIES SALES CORPORATION
December 4, 1986 - August 3, 1988
TRANSAMERICA FINANCIAL ADVISORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CPS FINANCIAL & INSURANCE SERVICES, INC.
CRD#: 41243 / SEC#: , 8-49337
Contact information
FINRA licenses (51 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
