Harold G. Kuchel
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 Glen Kuchel, who also goes by Hal Kuchel, was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1985. Harold had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 22 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
July 2, 2007 - December 31, 2012
CROWN CAPITAL SECURITIES, L.P.
July 2, 2007 - October 15, 2013
CROWN CAPITAL SECURITIES, L.P.
March 1, 2000 - July 3, 2007
BROOKSTREET SECURITIES CORPORATION
August 1, 1995 - July 3, 2007
BROOKSTREET SECURITIES CORPORATION
November 28, 1990 - October 6, 1995
SECURITIES WEST, INC.
September 21, 1990 - December 11, 1990
AEGON USA SECURITIES INC.
August 30, 1990 - April 15, 1991
OSAIC WEALTH, INC.
December 3, 1987 - August 22, 1990
SECURITIES WEST, INC.
February 13, 1987 - December 12, 1987
CAPITAL BROKERAGE CORPORATION
September 26, 1985 - February 26, 1987
LINCOLN FINANCIAL DISTRIBUTORS, INC.
February 21, 1985 - August 29, 1985
TRIQUEST FINANCIAL, 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
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
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.
