Harvey E. Kramer
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 E Kramer was a registered financial professional .
Harvey is a previously registered financial professional and started their career in finance in 1965. Harvey had worked at 7 firms and has passed the Series 63, Series 15, Series 5, PC, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 1989 - February 7, 2003
ADVEST, INC.
September 15, 1989 - December 6, 1989
PRUDENTIAL EQUITY GROUP, LLC
February 2, 1977 - September 15, 1989
THOMSON MCKINNON SECURITIES INC.
February 7, 1974 - February 27, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
July 2, 1973 - April 20, 1974
DUPONT WALSTON, INCORPORATED
October 1, 1971 - April 23, 1976
DUPONT GLORE FORGAN INCORPORATED
August 9, 1965 - October 24, 1971
H. HENTZ & CO., INC.
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
Series 15
Date: 11/22/1982
Foreign Currency Options ExaminationSeries 5
Date: 1/19/1982
Interest Rate Options ExaminationPC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 7/21/1961
Registered Representative ExaminationSeries 8
Date: 4/26/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ADVEST, INC.
CRD#: 10 / SEC#: , 8-21409
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVEST GROUP, INC. | PARENT COMPANY OF ADVEST, INC. | |
| DIAMOND, JASON HOWARD | C.F.O. | 2320884 |
| DOYLE, SCOTT JOHN | SROP | 2100219 |
| FREITAG, WILLIAM CHRISTIAN | C.C.O. | 1732667 |
| HOROWITZ, DAVID ADAM | DIRECTOR | 1827880 |
| KUCKRO, LEE GERARD | C.L.O. | 1318309 |
| MCINTOSH, LAWRENCE FORBES | C.R.O.P. | 1571279 |
| MULLANE, DANIEL JOSEPH | PRESIDENT AND CEO | 1246435 |
| WELLINGTON, JOHN HOLMES SR | DIRECTOR - C.O.O. | 1314741 |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 53 |
Red Flags
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