Harold L. Rupp
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 Lavelle Rupp JR, who also goes by H Lavelle Rupp Jr, Lavelle Rupp Jr, was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1983. Harold had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2018 - December 31, 2024
THE TAVENNER COMPANY
July 24, 2002 - December 31, 2017
W. H. COLSON SECURITIES, INC.
January 2, 2002 - July 23, 2002
NORTHEAST SECURITIES, LLC
October 16, 2000 - January 18, 2002
INVESTORS CAPITAL CORP.
July 10, 1997 - October 27, 2000
INVESTMENT CENTERS OF AMERICA, INC.
January 31, 1997 - November 14, 1997
INVESTORS CAPITAL CORP.
June 1, 1996 - December 31, 1996
WALNUT STREET SECURITIES, INC.
February 21, 1991 - June 1, 1996
NORTH AMERICAN MANAGEMENT, INC.
July 14, 1983 - February 20, 1991
PFS INVESTMENTS 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
THE TAVENNER COMPANY
CRD#: 18004 / SEC#: , 8-41206
Contact information
FINRA licenses (24 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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