Harvey L. House
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 Layton House JR, who also goes by Layton House Jr, was a registered financial professional .
Harvey is a previously registered financial professional and started their career in finance in 1970. Harvey had worked at 8 firms and has passed the Series 63, Series 15, Series 1, Series 000, Series 4, Series 12 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 1999 - October 3, 2002
PRUDENTIAL EQUITY GROUP, LLC
November 12, 1994 - October 12, 1999
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1993 - November 29, 1994
CITIGROUP GLOBAL MARKETS INC.
April 11, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
August 6, 1984 - April 11, 1988
E. F. HUTTON & COMPANY INC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
April 25, 1973 - February 27, 1976
BACHE & CO., INCORPORATED
April 17, 1973 - August 14, 1984
PRUDENTIAL EQUITY GROUP, LLC
February 18, 1970 - May 17, 1973
F I DUPONT GLORE FORGAN & CO
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 15
Date: 5/24/1984
Foreign Currency Options ExaminationSeries 1
Date: 4/20/1964
Registered Representative ExaminationSeries 000
Date: 4/6/1964
General Securities Principal ExaminationSeries 12
Date: 2/20/1970
NYSE Branch Manager ExaminationSeries 40
Date: 2/13/1970
Registered Principal ExaminationCurrent Firm
PRUDENTIAL EQUITY GROUP, LLC
CRD#: 7471 / SEC#: , 8-27154
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRUDENTIAL SECURITIES GROUP INC.["PSGI"] PARENT OF PRUDENTIAL EQUITY GROUP, LLC | SHAREHOLDER DIRECT | |
| BAVARO, MARGUERITE ANNE | CHIEF OPERATIONS OFFICER | 722294 |
| DUGAN, MICHAEL JOSEPH | CHIEF FINANCIAL OFFICER AND CHIEF ADMINISTRATIVE OFFICER | 1604211 |
| RICE, JUDY ANN | MANAGER | 67215 |
| SHEA, MICHAEL JOSEPH | MANAGER, CHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER | 1014613 |
| STRANGFELD, JOHN ROBERT JR | MANAGER & CHAIRMAN OF THE BOARD | 1301812 |
Disclosures
| Regulatory Event | 288 |
| Civil Event | 1 |
| Arbitration | 579 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
