Harvey N. Black
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 Nicol Black III, who also goes by Harvey N Black, Harvey Nicol Black III, Tres Black, Harvey Nicol Black, was a registered financial professional .
Harvey is a previously registered financial professional and started their career in finance in 1986. Harvey had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 28 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
February 7, 2018 - May 16, 2018
EMPOWER ADVISORY GROUP, LLC
February 7, 2018 - May 16, 2018
EMPOWER FINANCIAL SERVICES, INC.
July 6, 2015 - August 30, 2016
EQUITABLE ADVISORS, LLC
May 29, 2015 - August 30, 2016
EQUITABLE ADVISORS, LLC
February 6, 2014 - May 28, 2015
SIGNATOR INVESTORS, INC.
October 26, 2012 - December 10, 2013
CANTOR FITZGERALD & CO.
October 2, 2009 - August 17, 2011
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
January 23, 2009 - June 30, 2009
DELPHOS MMJ L.P.
September 26, 2006 - December 2, 2008
MD GLOBAL PARTNERS, LLC
July 10, 2002 - May 10, 2005
LEHMAN BROTHERS INC.
August 14, 2000 - February 22, 2002
BANC OF AMERICA SECURITIES LLC
April 25, 1996 - May 3, 2000
LEHMAN BROTHERS INC.
November 6, 1995 - April 9, 1996
ING BARING (U.S.) SECURITIES, INC.
September 2, 1993 - November 6, 1995
INTERNATIONALE NEDERLANDEN (U.S.) SECURITIES CORPORATION
October 22, 1986 - August 4, 1993
SALOMON BROTHERS INC.
Primary Firm SEC Registration
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
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 28
Date: 7/12/2006
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 250,707 |
| AUM (Assets Under Management) | $ 159,120,330,491 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/28/2025 | ||
| 11/21/2023 |
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.
