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Harvey Altholtz

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CRD#: 2515498
HA

Professional summary

Harvey Altholtz was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Harvey is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Harvey had worked at 4 firms, which includes SECURITIES AMERICA INC., OGILVIE SECURITY ADVISORS CORPORATION, LOCUST STREET SECURITIES INC., RAYMOND JAMES FINANCIAL SERVICES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 30, 2001 - October 18, 2006

SECURITIES AMERICA, INC.

BD
CRD#: 10205
SARASOTA, FL
Past

December 16, 1996 - September 13, 2001

OGILVIE SECURITY ADVISORS CORPORATION

BD
CRD#: 10105
CHICAGO, IL
Past

August 8, 1995 - December 31, 1996

LOCUST STREET SECURITIES, INC.

BD
CRD#: 1703
DES MOINES, IA
Past

December 7, 1994 - May 22, 1995

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 6/16/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/20/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/6/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/6/1995
General Securities Principal Examination

Current Firm

SA
SECURITIES AMERICA, INC.
SECURITIES AMERICA FINANCIAL SERVICES | WILLIAMS, WILD & LARSON SECURITIES, INC. | TYMAN SECURITIES, INC. | TMG SECURITIES, INC. | SECURITIES AMERICA, INC. | SECURITIES AMERICA WEALTH MANAGEMENT GROUP

CRD#: 10205 / SEC#: , 8-26602

BD
Terminated by SEC on 08/17/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/08/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SECURITIES AMERICA FINANCIAL CORP.SHAREHOLDER
CHAFFEE, HAROLD GERARDVICE PRESIDENT, CHIEF COMPLIANCE OFFICER2905661
CORNICK, GREGORY ALLENDIRECTOR3132991
FORD, ERINN JUNEINTERIM PRESIDENT, DIRECTOR AND CEO2176816
GERB, JASON HARRISSVP, CHIEF REGULATORY OFFICER3021815
HULETT, KIRK JESSEEXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR2528380
PRICE, JAMES DALECHAIRMAN1243224
SCHLUETER, MATTHEW ADAMEXECUTIVE VICE PRESIDENT, DIRECTOR2627931
SCHMIDT, DAVID MARTINTREASURER, FINANCIAL AND OPERATIONS PRINCIPAL5675524

Disclosures

Regulatory Event58
Arbitration27
Bond5

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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Company Information

SECURITIES AMERICA, INC.

CRD#: 10205

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