Robert L. 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.
Robert Lee Harvey, who also goes by Bob Harvey, Robert L Harvey, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1988. Robert had worked at 15 firms and has passed the Series 63, SIE, 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 18, 2013 - September 16, 2016
SECUREVEST FINANCIAL GROUP
November 2, 2012 - October 23, 2013
COHEN & COMPANY SECURITIES, LLC
February 27, 2012 - October 2, 2012
RAFFERTY CAPITAL MARKETS, LLC
May 1, 2009 - October 2, 2012
SANDGRAIN SECURITIES LLC
August 6, 2007 - December 23, 2008
OPPENHEIMER & CO. INC.
February 27, 2006 - July 23, 2007
VFINANCE INVESTMENTS, INC
August 16, 2004 - May 3, 2006
STERLING FINANCIAL INVESTMENT GROUP, INC.
July 18, 2000 - August 20, 2004
OPPENHEIMER & CO. INC.
September 1, 1998 - July 17, 2000
OROSEY & PEPE CAPITAL MARKETS, INC.
August 28, 1997 - September 1, 1998
OPPENHEIMER & CO. INC.
October 4, 1996 - April 2, 1997
LEHWALD, OROSEY & PEPE INCORPORATED
September 17, 1996 - February 18, 1998
LOP CAPITAL MARKETS, INC.
May 8, 1996 - September 9, 1996
GMS GROUP
June 6, 1995 - May 14, 1996
LOP CAPITAL MARKETS, INC.
September 8, 1992 - May 14, 1996
LEHWALD, OROSEY & PEPE INCORPORATED
April 6, 1989 - July 7, 1989
INSTITUTIONAL EQUITY CORPORATION
November 14, 1988 - February 17, 1989
WESTMINSTER RESEARCH ASSOCIATES LLC
November 14, 1988 - February 17, 1989
NATWEST CAPITAL MARKETS SECURITIES INC.
June 13, 1988 - October 24, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SECUREVEST FINANCIAL GROUP
CRD#: 10100 / SEC#: , 8-26030
Contact information
Disclosures
| Regulatory Event | 4 |
Red Flags
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