Halvor L. Harlely
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.
Halvor Larson Harlely, who also goes by Hal Harley III, Hal Harley, Halvor L Harley, Halvor L. Harley, Halvor Harley III, Halvor Harley, Halvor Larson Harley, was a registered financial professional .
Halvor is a previously registered financial professional and started their career in finance in 2003. Halvor had worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2018 - September 14, 2018
KOVACK SECURITIES INC.
August 27, 2015 - July 5, 2016
PNC MANAGED ACCOUNT SOLUTIONS, INC.
August 26, 2015 - July 5, 2016
BBVA SECURITIES INC.
May 22, 2013 - April 15, 2015
HSBC SECURITIES (USA) INC.
May 22, 2013 - April 15, 2015
HSBC SECURITIES (USA) INC.
January 31, 2013 - June 21, 2013
CREDIT SUISSE SECURITIES (USA) LLC
January 31, 2013 - June 21, 2013
CREDIT SUISSE SECURITIES (USA) LLC
August 5, 2008 - November 5, 2012
DEUTSCHE BANK SECURITIES INC.
October 22, 2004 - November 5, 2012
DEUTSCHE BANK SECURITIES INC.
June 6, 2003 - January 23, 2004
MBSC, LLC
January 23, 2003 - June 6, 2003
BNY MELLON CAPITAL MARKETS, 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
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
Red Flags
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