Harvey Printz
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 Printz was a registered financial professional .
Harvey is a previously registered financial professional and started their career in finance in 1970. Harvey had worked at 6 firms and has passed the Series 63, Series 7, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 1991 - January 13, 1997
FIRST ASSET MANAGEMENT, INC.
August 3, 1989 - January 30, 1991
GLOBAL CAPITAL SECURITIES, INC.
August 8, 1985 - October 24, 1986
HICKEY, KOBER, INCORPORATED
February 18, 1982 - September 24, 1984
STUART, COLEMAN & CO., INC.
June 7, 1977 - March 30, 1982
UBS CAPITAL MARKETS L.P.
October 14, 1970 - November 21, 1971
ICAHN & CO., 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
Series 1
Date: 6/1/1956
Registered Representative ExaminationSeries 00
Date: 3/27/1980
General Securities Principal ExaminationCurrent Firm
FIRST ASSET MANAGEMENT, INC.
CRD#: 17341 / SEC#: , 8-35154
Contact information
Documents
Red Flags
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