Warren Harvey
Professional summary
Warren Harvey, who also goes by Warren Cromwell Harvey Jr, Warren Cromwell Harvey, is a registered financial professional currently at ROBINHOOD SECURITIES, LLC located in Lake Mary, Florida.
Warren is registered as a RR (Registered Representative) and started their career in finance in 1996. Warren has worked at 7 firms and has passed the Series 63, Series 99TO, Series 52TO, Series 57TO, SIE, Series 7, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Warren Harvey's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 30, 2021 - Present
ROBINHOOD SECURITIES, LLC
Office #1: 500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746October 22, 2019 - January 20, 2021
PERSHING LLC
January 5, 2016 - March 30, 2016
MB TRADING
August 14, 2012 - December 20, 2012
ZECCO TRADING, INC.
April 7, 2006 - October 18, 2019
ALLY INVEST SECURITIES LLC
December 11, 2003 - October 19, 2004
EMPIRE FINANCIAL GROUP, INC.
September 30, 1996 - April 2, 2003
AMERITRADE NORTHWEST, 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
(4/30/2021)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 12/28/2019
Securities Trader ExamFINRA
Current Firm
ROBINHOOD SECURITIES, LLC
CRD#: 287900 / SEC#: , 8-69916
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBINHOOD MARKETS, INC | MEMBER | |
| BILLINGS, MATTHEW JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 1915377 |
| CAVALLARO, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER | 1607925 |
| GALVIN, SCOT SEAN | CHIEF OPERATING OFFICER, AND PRINCIPAL OPERATIONS OFFICER | 3226179 |
| KELATI, DANIEL T | CHIEF FINANCIAL OFFICER AND FINOP | 3103432 |
| QUIRK, STEVEN MARK | MANAGER | 2728768 |
| SUBRAMANIAN, SIVARAMAKRISHNAN | MANAGER | 7339479 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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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Company Information
ROBINHOOD SECURITIES, LLC
CRD#: 287900Lake Mary, FL 32746TRUST BUT VERIFY
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