Harvey L. Tepner
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 Lawrence Tepner was a registered financial professional .
Harvey is a previously registered financial professional and started their career in finance in 1992. Harvey had worked at 5 firms and has passed the Series 63, SIE 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
June 23, 2016 - February 1, 2017
ACGM, INC.
April 17, 2008 - June 3, 2014
INVESCO DISTRIBUTORS, INC.
March 26, 2004 - March 4, 2008
CPIBD LLC
April 24, 1995 - January 29, 2003
LOEB PARTNERS CORPORATION
April 8, 1992 - March 1, 1995
SBC WARBURG DILLON READ INC.
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
ACGM, INC.
CRD#: 29705 / SEC#: , 8-44376
Contact information
Documents
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.
