Harold Fine
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 Fine was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1985. Harold had worked at 2 firms and has passed the Series 6 and Series 22 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, 1989 - August 27, 2003
SICOR SECURITIES INC
September 7, 1985 - December 31, 1988
MUTUAL SERVICE CORPORATION
July 19, 1985 - March 2, 1987
SICOR SECURITIES INC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SICOR SECURITIES INC
CRD#: 16195 / SEC#: 801-31673, 8-33445
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 13 |
| Arbitration | 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.
