Holman M. 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.
Holman Matthew Cartwright Harvey was a registered financial professional .
Holman is a previously registered financial professional and started their career in finance in 1999. Holman had worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2004 - March 26, 2014
CORRIENTE ADVISORS, LLC
June 30, 1999 - July 19, 2001
STEPHENS
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
CORRIENTE ADVISORS, LLC
CRD#: 127639 / SEC#: 802-127785
Contact information
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Active | 3/29/2023 |
| Texas | ERA - Active | 3/29/2023 |
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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