Harold D. Witt
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 Duane Witt, who also goes by Harold D Witt, was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1986. Harold had worked at 7 firms and has passed the Series 65, Series 63, 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
November 15, 2006 - December 31, 2013
DUANE WITT & ASSOCIATES, L.L.C.
February 7, 2006 - May 10, 2006
KALOS CAPITAL, INC.
April 12, 2002 - May 9, 2005
WORLD GROUP SECURITIES, INC.
March 16, 2001 - April 12, 2002
WMA SECURITIES, INC.
June 6, 1994 - February 6, 2001
WMA SECURITIES, INC.
January 3, 1992 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 19, 1990 - December 2, 1991
PFS INVESTMENTS INC.
March 20, 1986 - October 9, 1990
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DUANE WITT & ASSOCIATES, L.L.C.
CRD#: 140831 / SEC#:
Contact information
Red Flags
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