Harry N. Bloch
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.
Harry Nathaniel Bloch II, who also goes by Harry Nathaniel Bloch, was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1963. Harry had worked at 17 firms and has passed the Series 63, SIE, Series 7, Series 1, Series 53, Series 27, Series 24, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2017 - October 11, 2017
HORAN SECURITIES, INC.
May 2, 2013 - December 28, 2017
KUHNS BROTHERS SECURITIES CORPORATION
August 4, 2011 - May 1, 2013
OCEAN CROSS CAPITAL MARKETS LLC
July 12, 2011 - November 1, 2011
OPTIONVUE SECURITIES CORP.
May 5, 2011 - September 26, 2011
SOUTHRIDGE INVESTMENT GROUP LLC
April 13, 2010 - December 9, 2011
LANE CAPITAL MARKETS LLC
March 5, 2007 - May 21, 2007
MIT ASSOCIATES, LLC
March 30, 2006 - May 29, 2009
SEMAPHORE CORPORATE FINANCE, INC.
September 3, 2003 - February 10, 2006
SMH CAPITAL INVESTMENTS LLC
June 12, 2002 - August 16, 2002
VFINANCE INVESTMENTS, INC
March 29, 1999 - July 9, 2002
SOMERSET FINANCIAL GROUP, INC.
January 23, 1998 - July 13, 1998
UBS FINANCIAL SERVICES INC.
April 5, 1995 - January 12, 1998
AUERBACH, POLLAK & RICHARDSON INC.
July 13, 1989 - March 23, 1995
UBS FINANCIAL SERVICES INC.
January 6, 1977 - July 29, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
February 6, 1976 - January 6, 1977
DREXEL BURNHAM & CO. INCORPORATED
May 11, 1973 - February 6, 1976
DREXEL BURNHAM & CO. INCORPORATED
June 28, 1963 - May 11, 1973
BURNHAM & CO INC
Primary Firm SEC Registration
HORAN SECURITIES, INC.
CRD#: 40794 / SEC#: 801-107181, 8-49192
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
Series 1
Date: 6/25/1963
Registered Representative ExaminationSeries 8
Date: 11/30/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HORAN SECURITIES, INC.
CRD#: 40794 / SEC#: 801-107181, 8-49192
Contact information
SEC notice filing (34 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HORAN, TERENCE LEE | PRESIDENT | 718264 |
| NAPIER, MICHAEL DUNLAP | VICE PRESIDENT/ REG REP | 4240419 |
| GROSSER, CONNIE SUE | CHIEF COMPLIANCE OFFICER | 1998135 |
| HOERNSCHEMEYER, GREGORY LEO | VICE PRESIDENT/REG REP | 2555372 |
| REYNOLDS, MICHAEL JASON | CHIEF FINANCIAL OFFICER | 7856362 |
| SOLOMON, GEOFFREY EDWARD | VICE PRESIDENT | 734912 |
Regulatory assets under management
| Total Number of Accounts | 2,245 |
| AUM (Assets Under Management) | $ 698,229,909 |
Disclosures
| Regulatory Event | 2 |
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.
