Harvey S. Grossman
Professional summary
Harvey Scott Grossman was barred by the FINRA 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 3 firms, which includes BESTVEST INVESTMENTS LTD., FIRST LIBERTY INVESTMENT GROUP INC., TRANSAMERICA FINANCIAL ADVISORS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2001 - February 17, 2006
BESTVEST INVESTMENTS, LTD.
December 11, 1996 - August 1, 2001
FIRST LIBERTY INVESTMENT GROUP, INC.
October 13, 1994 - November 7, 1996
TRANSAMERICA FINANCIAL ADVISORS, LLC
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
BESTVEST INVESTMENTS, LTD.
CRD#: 40302 / SEC#: , 8-49007
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OC HOLDINGS LLC | OWNER | |
| COONEY, WILLIAM GRESHAM | CHIEF COMPLIANCE OFFICER | 1333702 |
| OCONNOR, JAMES WILLIAM | PRESIDENT AND FINANCIAL PRINCIPAL |
Disclosures
| Regulatory Event | 3 |
Red Flags
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