Harvey Bayard
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 Bayard was a registered financial professional .
Harvey is a previously registered financial professional and started their career in finance in 1988. Harvey had worked at 6 firms and has passed the Series 63, 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
October 29, 1998 - December 12, 2000
WIN CAPITAL CORP.
August 30, 1997 - October 21, 1998
CELADON FINANCIAL GROUP LLC
March 18, 1997 - June 18, 1997
CELADON FINANCIAL GROUP LLC
July 8, 1996 - September 13, 1996
BLACKWELL DONALDSON & COMPANY
January 17, 1991 - July 10, 1996
FIRST ASSET MANAGEMENT, INC.
May 26, 1989 - January 29, 1991
GLOBAL CAPITAL SECURITIES, INC.
December 10, 1988 - June 24, 1989
WINSTON-FROST 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
Current Firm
WIN CAPITAL CORP.
CRD#: 36172 / SEC#: , 8-47174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KSH TRADING LLC | OWNER | |
| BAYERN, STEVEN JAY | CHAIRMAN, DIRECTOR | 15379 |
| KOLENIK, PATRICK MICHAEL | PRESIDENT, DIRECTOR | 810813 |
| ABLAMSKY, JOHN THOMAS | CFO/SECRETARY/TREASURER/FINOP | 2466780 |
| KOHN, HARVEY RICHARD | DIRECTOR | 817501 |
| QUIGLEY, WILLIAM MICHAEL | COMPLIANCE DIRECTOR | 1968265 |
| SUCOFF, CARY WILLIAM | DIRECTOR | 1156732 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
