Harvey Morgan
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.
Harvey Morgan was a registered financial professional .
Harvey is a previously registered financial professional and started their career in finance in 1970. Harvey had worked at 11 firms and has passed the Series 63, 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
April 12, 2004 - January 2, 2013
BENTLEY SECURITIES CORPORATION
October 12, 2001 - March 4, 2004
SHATTUCK HAMMOND PARTNERS LLC
January 10, 2001 - April 10, 2001
PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC
January 2, 2001 - January 30, 2001
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
April 8, 1999 - January 2, 2001
JWGENESIS SECURITIES, INC.
July 5, 1996 - May 21, 1999
COWEN PRIME SERVICES TRADING LLC
June 2, 1989 - March 25, 1996
LADENBURG THALMANN & CO. INC.
September 16, 1977 - June 22, 1989
PRUDENTIAL EQUITY GROUP, LLC
September 20, 1974 - September 16, 1977
SHIELDS MODEL ROLAND INCORPORATED
June 26, 1973 - September 20, 1974
SHIELDS & COMPANY INCORPORATED
July 13, 1970 - March 8, 1973
BACHE & CO., INCORPORATED
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
Series 1
Date: 7/6/1970
Registered Representative ExaminationSeries 40
Date: 7/30/1973
Registered Principal ExaminationCurrent Firm
BENTLEY SECURITIES CORPORATION
CRD#: 25759 / SEC#: , 8-41879
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CROMWELL, OLIVER DEAN | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 838160 |
Red Flags
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