Harvey F. Neustadt
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.
Harvey Francis Neustadt II, who also goes by Harvey Francis Neustadt, was a registered financial professional .
Harvey is a previously registered financial professional and started their career in finance in 1983. Harvey had worked at 4 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 1996 - August 2, 1996
UNITED PACIFIC SECURITIES, INC.
March 31, 1995 - December 31, 1995
UNITED PACIFIC SECURITIES, INC.
December 13, 1991 - February 3, 1995
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 13, 1988 - December 23, 1991
FERRIS, BAKER WATTS, LLC
January 19, 1983 - December 23, 1988
INVEST FINANCIAL CORPORATION
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
UNITED PACIFIC SECURITIES, INC.
CRD#: 21986 / SEC#: , 8-39467
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
