Harvey J. House

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CRD#: 1642041

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 Joseph House JR, who also goes by Harvey J House Jr, Harvey Joseph House, was a registered financial professional .

Harvey is a previously registered financial professional and started their career in finance in 1987. Harvey had worked at 8 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Harvey J House Jr | Harvey Joseph House

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

October 10, 1994 - November 29, 1994

D.E. FREY & COMPANY, INC.

CRD#: 23595

DENVER, CO

Past

December 16, 1992 - March 9, 1993

D.E. FREY & COMPANY, INC.

CRD#: 23595

DENVER, CO

Past

February 14, 1991 - June 11, 1991

TITAN/VALUE EQUITIES GROUP, INC.

CRD#: 6359

IRVINE, CA

Past

June 29, 1990 - January 3, 1991

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

June 16, 1989 - July 12, 1990

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

September 23, 1988 - June 22, 1989

NEWHARD, COOK & CO. INCORPORATED

CRD#: 619

Past

February 4, 1988 - September 20, 1988

OBERWEIS SECURITIES, INC.

CRD#: 7739

Past

November 17, 1987 - February 9, 1988

MOONEY'S SECURITIES, INC.

CRD#: 16928

Past

August 31, 1987 - September 16, 1987

SWINK & COMPANY, INC.

CRD#: 7111

Past

August 18, 1987 - September 1, 1987

MOONEY'S SECURITIES, INC.

CRD#: 16928

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 8/18/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/15/1987

General Securities Representative Examination

Current Firm

D.E. FREY & COMPANY, INC.

CRD#: 23595 / SEC#: , 8-40582

Terminated by SEC on 07/08/2001

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 09/19/1988

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
D.E. FREY GROUP	PARENT; SOLE SHAREHOLDER
FREY, DALE EDWARD	CEO, CHAIRMAN, DIRECTOR/SHAREHOLDER - D.E. FREY GROUP	214215
HEINZEROTH, TODD OWEN	VP FINANCE AND ACCOUNTING	3249358
HOCEVAR, PAUL LEE	DIRECTOR, CHIEF FINANCIAL OFFICER	2703641

Disclosures

Regulatory Event	11
Civil Event	4
Arbitration	8

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.

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Harvey J. House

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

D.E. FREY & COMPANY, INC.

D.E. FREY & COMPANY, INC.

TITAN/VALUE EQUITIES GROUP, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LEHMAN BROTHERS INC.

NEWHARD, COOK & CO. INCORPORATED

OBERWEIS SECURITIES, INC.

MOONEY'S SECURITIES, INC.

SWINK & COMPANY, INC.

MOONEY'S SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/18/1987

Series 7

Date: 8/15/1987

Current Firm

D.E. FREY & COMPANY, INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

D.E. FREY & COMPANY, INC.

TRUST BUT VERIFY

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