Harry L. Curtis
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.
Harry L Curtis III, who also goes by Harry L (iii) Curtis, was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1989. Harry had worked at 2 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
July 19, 1995 - December 3, 2019
MPI SECURITIES, INC.
May 23, 1989 - June 10, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
MPI SECURITIES, INC.
CRD#: 38192 / SEC#: , 8-48125
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HASSAN, JOSEPH C | SHAREHOLDER/BOARD MEMBER | 6011320 |
| KERRIGAN, DAN | FINOP & PRESIDENT | 5313064 |
| KERRIGAN, DAN | SHAREHOLDER/DIRECTOR | 5313064 |
| LINGERFIELD, MARK ERIC | SHAREHOLDER/BOARD MEMBER | 6011316 |
| MEYERS, ROY HOWARD | SHAREHOLDER/BOARD MEMBER | 2595601 |
| POVLICH, TODD GEOFFREY | SHAREHOLDER | 6011335 |
| SCHUMAN, DEBORAH | SHAREHOLDER | 1098812 |
| VARGA, JOHN LAWRENCE III | SHAREHOLDER | 6011333 |
| JASEY, TRACEY M | CHIEF COMPLIANCE OFFICER | 5469121 |
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.
