Harold L. Fisher
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.
Harold Louis Fisher was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1970. Harold had worked at 1 firm and has passed the Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 1970 - September 30, 1991
ROTH SECURITIES COMPANY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 12/7/1970
Registered Representative ExaminationSeries 00
Date: 7/26/1971
General Securities Principal ExaminationCurrent Firm
ROTH SECURITIES COMPANY
CRD#: 3230 / SEC#: , 8-7372
Contact information
Documents
Red Flags
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