Harry M. Lyle
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 Michael Lyle was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1974. Harry had worked at 7 firms and has passed the Series 65, Series 63, PC, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 1997 - January 15, 2002
FERRIS, BAKER WATTS, LLC
March 22, 1991 - April 23, 1997
PRUDENTIAL EQUITY GROUP, LLC
April 27, 1984 - February 27, 1991
KIDDER, PEABODY & CO. INCORPORATED
April 23, 1981 - April 13, 1984
CITIGROUP GLOBAL MARKETS INC.
December 26, 1978 - May 1, 1981
RIVIERE SECURITIES CORPORATION
December 13, 1976 - January 29, 1979
VOSS & CO., INC.
May 14, 1974 - December 30, 1976
DERAND/PENNINGTON/BASS, 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
PC
Date: 11/10/1982
AMEX Put and Call ExamSeries 1
Date: 5/14/1974
Registered Representative ExaminationSeries 40
Date: 6/14/1977
Registered Principal ExaminationCurrent Firm
FERRIS, BAKER WATTS, LLC
CRD#: 285 / SEC#: , 8-16427
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC CAPITAL MARKETS CORPORATION | 100% OWNER | 31194 |
| CHAPMAN, JAMES DOUGLAS | CEO | 728296 |
| COQUELIN, WILLIAM CARL | CHIEF INFORMATION OFFICER | |
| DIRZUWEIT, LENEE BETH | ROSFP | 2480492 |
| HARTMAN, CRAIG ROBERT | CFO | 4413090 |
| KAVANAGH, MICHAEL ROBERT | DIRECTOR | 1021014 |
| KERMEEN, DEBORAH JOY | COO | 2235924 |
| LEAVERTON, KARL VERNON | DIRECTOR | 1106831 |
| RUTHERFORD, PATRICIA ANN | CHIEF COMPLIANCE OFFICER | 5059176 |
| TAFT, JOHN GODFREY | DIRECTOR | 1007933 |
Disclosures
| Regulatory Event | 32 |
| Arbitration | 18 |
Red Flags
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