Harvey R. Fifer
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 Ralph Fifer III, who also goes by Harvey Ralph Fifer III, Tad Fifer, Harvey Ralph Fifer, was a registered financial professional .
Harvey is a previously registered financial professional and started their career in finance in 1996. Harvey had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2025 - December 31, 2025
THE LEADERS GROUP, INC.
June 20, 2005 - February 24, 2011
LINCOLN FINANCIAL DISTRIBUTORS, INC.
June 16, 2005 - September 28, 2023
LINCOLN FINANCIAL DISTRIBUTORS, INC.
September 19, 2002 - June 8, 2005
GLOBAL ATLANTIC DISTRIBUTORS, LLC
September 14, 2001 - September 27, 2002
VERAVEST INVESTMENTS, INC.
January 25, 2000 - August 9, 2001
CUNA BROKERAGE SERVICES, INC.
March 21, 1996 - February 8, 2000
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
