Kathleen A. 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.
Kathleen A Harvey, who also goes by Kathleen Anita Crowell, Kathleen Anita Harvey, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1993. Kathleen had worked at 10 firms and has passed the Series 63, Series 65, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 2012 - May 24, 2013
SUMMIT EQUITIES, INC.
January 13, 2012 - May 24, 2013
SUMMIT FINANCIAL RESOURCES INC
January 13, 2012 - May 24, 2013
SUMMIT EQUITIES, INC.
October 9, 2009 - April 21, 2011
RBC CAPITAL MARKETS, LLC
October 9, 2009 - April 21, 2011
RBC CAPITAL MARKETS, LLC
March 25, 2008 - October 9, 2009
J. B. HANAUER & CO.
March 18, 2008 - October 9, 2009
J. B. HANAUER & CO.
September 28, 2006 - April 11, 2008
CETERA WEALTH SERVICES, LLC
May 25, 2006 - August 16, 2006
CITIGROUP GLOBAL MARKETS INC.
May 11, 2006 - August 16, 2006
CITIGROUP GLOBAL MARKETS INC.
August 27, 2002 - May 1, 2006
MORGAN STANLEY DW INC.
November 16, 2001 - May 1, 2006
MORGAN STANLEY DW INC.
May 30, 2000 - November 19, 2001
PRUDENTIAL EQUITY GROUP, LLC
May 28, 1996 - June 9, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 9, 1995 - March 21, 1996
GIBRALTAR SECURITIES CO.
December 20, 1993 - October 25, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SUMMIT EQUITIES, INC.
CRD#: 11039 / SEC#: 801-39162, 8-27556
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEISS, CRAIG BARRY | CHIEF COMPLIANCE OFFICER | 2354195 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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