Harlan P. Kleiman
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.
Harlan Phillip Kleiman, who also goes by Harlan P Kleiman, was a registered financial professional .
Harlan is a previously registered financial professional and started their career in finance in 1995. Harlan had worked at 3 firms and has passed the Series 63, Series 7, Series 62 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 2004 - February 5, 2013
SHORELINE PACIFIC, LLC
January 23, 2004 - August 13, 2004
CANACCORD GENUITY SECURITIES LLC
April 3, 2001 - December 31, 2003
SHORELINE PACIFIC, LLC
May 3, 1995 - August 1, 2001
FINANCIAL WEST GROUP
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 62
Date: 5/2/1995
Corporate Securities Limited Representative ExaminationCurrent Firm
SHORELINE PACIFIC, LLC
CRD#: 104417 / SEC#: , 8-52879
Contact information
Documents
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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