Harry A. Horwitz
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 A Horwitz, who also goes by Harry Albert Horwitz, was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1999. Harry had worked at 3 firms and has passed the Series 66 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
August 14, 2001 - February 28, 2003
CHARTER ONE SECURITIES, INC.
June 19, 2000 - August 1, 2001
CHARLES SCHWAB & CO., INC.
June 15, 1999 - February 16, 2000
MORGAN STANLEY DW 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
Current Firm
CHARTER ONE SECURITIES, INC.
CRD#: 13373 / SEC#: , 8-29142
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHARTER ONE BANK, N.A. | SHAREHOLDER | |
| ANGUISH, JOSEPH EDWARD | CHIEF COMPLIANCE OFFICER | 1263738 |
| EISENHARDT, HOWARD | SECRETARY | |
| GUILFOYLE, KATHLEEN MARGARET | CHIEF FINANCIAL OFFICER | 4728634 |
| HOLLISTER, THOMAS JAMES | CHAIRMAN | |
| KOPP, BRADFORD BURNETT | DIRECTOR | 860833 |
| MILLARD, MICHAEL GERARD | CHIEF EXECUTIVE OFFICER / PRESIDENT | 722703 |
Disclosures
| Regulatory Event | 2 |
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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