Harvey L. Deloach
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 Lyle Deloach, who also goes by Harv Deloach, was a registered financial professional .
Harvey is a previously registered financial professional and started their career in finance in 1990. Harvey had worked at 5 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2012 - January 20, 2012
GRADIENT SECURITIES, LLC
February 19, 1997 - December 31, 2011
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 3, 1992 - February 24, 1997
HORNOR, TOWNSEND & KENT, LLC
July 16, 1991 - February 21, 1992
VOYA FINANCIAL ADVISORS, INC.
May 7, 1990 - July 24, 1991
MONARCH SECURITIES, INC.
Primary Firm SEC Registration
GRADIENT SECURITIES, LLC
CRD#: 127701 / SEC#: 801-80807, 8-66032
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
GRADIENT SECURITIES, LLC
CRD#: 127701 / SEC#: 801-80807, 8-66032
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 7,322 |
| AUM (Assets Under Management) | $ 591,069,287 |
Disclosures
| Regulatory Event | 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.
