Harry G. Pathak
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.
Harry Gouri Pathak, who also goes by Har G Pathak, Har Gouri Pathak, Harry Pathak, was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1983. Harry had worked at 10 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 1999 - November 19, 1999
SUNPOINT SECURITIES, INC.
May 1, 1997 - September 21, 1999
PRUDENTIAL EQUITY GROUP, LLC
September 16, 1993 - April 8, 1997
MORGAN STANLEY DW INC.
September 4, 1990 - September 10, 1993
WELLS FARGO CLEARING SERVICES, LLC
November 13, 1989 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
June 2, 1988 - November 13, 1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED
April 27, 1987 - May 25, 1988
ROBERT W. BAIRD & CO. INCORPORATED
April 2, 1985 - May 12, 1987
ROTAN MOSLE INC.
December 3, 1984 - March 15, 1985
PERSHING LLC
October 19, 1983 - December 12, 1984
UBS FINANCIAL SERVICES 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
SUNPOINT SECURITIES, INC.
CRD#: 25442 / SEC#: , 8-41741
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEWIS, VAN ROBERSON | CEO/PRESIDENT/FOUNDER | 1562328 |
| CHILDERS, DIANNE BAILEY | VP COMPLIANCE | |
| HAGEN, BRETT WILLIAM | CHIEF OPERATIONS OFFICER | |
| KATZ, DONALD LESTER | FINOP/EXECUTIVE VICE PRESIDENT ACCOUNTING AND COMPLIANCE | |
| SAPAUGH, MARVIN WAYNE | EXECUTIVE V.P. OF INVESTMENT SERVICES |
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 1 |
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.
