Victoria R. Harvey
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.
Victoria Routh Harvey, who also goes by VIckie Harvey, was a registered financial professional .
Victoria is a previously registered financial professional and started their career in finance in 1998. Victoria had worked at 3 firms and has passed the Series 63, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2009 - December 31, 2012
OMNI FINANCIAL SECURITIES, INC.
November 30, 1999 - November 25, 2009
WOODBURY FINANCIAL SERVICES, INC.
October 1, 1998 - November 23, 1999
HORANG SECURITIES, 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
OMNI FINANCIAL SECURITIES, INC.
CRD#: 29320 / SEC#: , 8-44034
Contact information
FINRA licenses (12 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
