Barry I. Hurwitz
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.
Barry Ira Hurwitz, who also goes by Barry I Hurwitz, was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1986. Barry had worked at 7 firms and has passed the Series 63, Series 55, 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
September 23, 2003 - May 1, 2014
YORK STOCKBROKERS, INC.
November 30, 2000 - April 11, 2003
HSBC SECURITIES (USA) INC.
June 29, 1998 - October 3, 2000
UBS SECURITIES LLC
February 6, 1998 - June 29, 1998
SBC WARBURG DILLON READ INC.
July 14, 1992 - January 13, 1998
SALOMON BROTHERS INC.
June 22, 1987 - July 8, 1992
KLEINWORT BENSON NORTH AMERICA INC.
April 23, 1986 - June 8, 1987
PRUDENTIAL EQUITY GROUP, LLC
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
Series 55
Date: 1/11/2000
Limited Representative-Equity Trader ExamCurrent Firm
YORK STOCKBROKERS, INC.
CRD#: 102740 / SEC#: , 8-52139
Contact information
FINRA licenses (3 States and Territories)
Disclosures
| Regulatory Event | 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.
