Harvey H. Feldman
Professional summary
Harvey Harold Feldman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Harvey is a previously registered financial professional and started their career in finance in 1968. Prior to being barred, Harvey had worked at 5 firms, which includes CLEARING SERVICES OF AMERICA INC., AMERICAN CAPITAL EQUITIES INC., WESTPORT FINANCIAL GROUP INC., CLAYTON BROKERAGE CO. OF ST. LOUIS INC., R. ROWLAND & CO. INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 1989 - September 4, 2003
CLEARING SERVICES OF AMERICA, INC.
June 19, 1984 - December 31, 1988
AMERICAN CAPITAL EQUITIES, INC.
April 16, 1984 - December 3, 1984
WESTPORT FINANCIAL GROUP, INC.
April 1, 1982 - May 3, 1984
CLAYTON BROKERAGE CO. OF ST. LOUIS, INC.
November 30, 1976 - May 3, 1984
CLAYTON BROKERAGE CO. OF ST. LOUIS, INC.
November 21, 1968 - April 29, 1976
R. ROWLAND & CO., INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 8/18/1983
Interest Rate Options ExaminationSeries 15
Date: 4/19/1983
Foreign Currency Options ExaminationSeries 1
Date: 11/14/1968
Registered Representative ExaminationSeries 40
Date: 6/11/1977
Registered Principal ExaminationF04
Date: 5/14/1977
Financial Principal ExaminationCurrent Firm
CLEARING SERVICES OF AMERICA, INC.
CRD#: 23623 / SEC#: , 8-40560
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Civil Event | 2 |
| Arbitration | 6 |
Red Flags
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