Harold D. Criswell
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 David Criswell, who also goes by David Criswell, 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, SIE, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2009 - July 8, 2019
SUMMIT FINANCIAL GROUP INC
March 30, 2009 - July 5, 2019
SUMMIT BROKERAGE SERVICES, INC.
January 2, 2009 - March 27, 2009
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 18, 1999 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 1999 - March 27, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 9, 1991 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
February 15, 1988 - January 28, 1991
LEHMAN BROTHERS INC.
May 22, 1986 - February 15, 1988
E. F. HUTTON & COMPANY 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
Series 8
Date: 10/26/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SUMMIT FINANCIAL GROUP INC
CRD#: 109485 / SEC#: 801-56645
Contact information
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.
