Harry E. Bookstein
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.
Harry Eden Bookstein, who also goes by Harry E Bookstein, was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1997. Harry had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2010 - December 31, 2017
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 15, 2010 - December 31, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 12, 2006 - April 22, 2010
UBS FINANCIAL SERVICES INC.
August 12, 2006 - April 22, 2010
UBS FINANCIAL SERVICES INC.
February 2, 2001 - August 12, 2006
PIPER SANDLER & CO.
January 12, 2001 - August 12, 2006
PIPER SANDLER & CO.
April 16, 1997 - January 16, 2001
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
