Edward J. Harvey
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.
Edward Joseph Harvey, who also goes by Edward Joseph Harvey III, Edward Harvey, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1987. Edward had worked at 6 firms and has passed the Series 63, Series 7TO, 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
August 6, 2024 - September 26, 2025
HUNTINGTON SECURITIES, INC.
September 5, 2007 - December 31, 2012
BMO CAPITAL MARKETS CORP.
February 20, 2003 - August 7, 2007
ROSENTHAL GLOBAL SECURITIES LLC
February 9, 2000 - February 21, 2003
GH TRADERS LLC
April 23, 1996 - January 10, 2000
ROSENTHAL GLOBAL SECURITIES LLC
November 30, 1992 - September 19, 1995
BANC ONE CAPITAL MARKETS, INC.
April 23, 1987 - July 1, 1992
J.P. MORGAN SECURITIES 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 7TO
Date: 8/5/2024
General Securities Representative ExaminationCurrent Firm
HUNTINGTON SECURITIES, INC.
CRD#: 2261 / SEC#: , 8-5761
Contact information
FINRA licenses (29 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HUNTINGTON BANCSHARES INCORPORATED | DIRECT OWNER | |
| BEEKMAN, TODD ANDREW | DIRECTOR | 6291198 |
| BORRELLI, MARK ROBERT | GENERAL COUNSEL/SECRETARY | 6803711 |
| COSTANZO, SAMANTHA ANN | DIRECTOR | 4133695 |
| DIBOWSKI, TERRA | HEAD OF BROKERAGE OPERATIONS | 5468840 |
| FITZSIMMONS, DAVID RAYMOND | HEAD OF INSTITUTIONAL SALES & TRADING, DIRECTOR | 4245434 |
| HERBERT, KATHERINE ELEANOR | CONTROLLER/FINOP | 6412263 |
| KLEINMAN, SCOTT DAVID | DIRECTOR | 2357636 |
| MILCETICH, MATTHEW LOUIS | PRESIDENT | 6419334 |
| SZWAGULAK, JOHN W III | CHIEF COMPLIANCE OFFICER | 4033023 |
| WALTHER, KATHLEEN | DIRECTOR | 7858303 |
Disclosures
| Regulatory Event | 8 |
Red Flags
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