Harvey Warsen
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.
Harvey Warsen was a registered financial professional .
Harvey is a previously registered financial professional and started their career in finance in 1986. Harvey had worked at 5 firms and has passed the Series 63 and Series 7 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, 1998 - June 28, 2012
FB EQUITY SALES CORPORATION OF MICHIGAN
September 25, 1992 - April 3, 1998
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
September 25, 1992 - April 3, 1998
OSAIC FA, INC.
February 13, 1987 - September 25, 1992
PATHWAY INVESTMENT CO.
July 23, 1986 - December 18, 1986
ROYAL SECURITIES COMPANY
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
FB EQUITY SALES CORPORATION OF MICHIGAN
CRD#: 39337 / SEC#: , 8-48645
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MICHIGAN FARM BUREAU FINANCIAL CORPORATION | OWNER | |
| BAKER, DAVID D | PRESIDENT | 1226090 |
| BEDNARSKI, CARL JOSEPH | CHAIRMAN OF THE BOARD | 6469516 |
| HOTZ, BLAIR MARSHALL | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | 1030617 |
| KOK, ANDREW JAMES MR. | GENERAL COUNSEL | 6062463 |
| O'SHEA, DANIEL JAMES | TREASURER AND FINANCIAL & OPERATION PRINCIPAL | 6145212 |
| SIMON, DONALD EUGENE | VICE CHAIRMAN & SECRETARY | 6980206 |
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.
