Thomas W. 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.
Thomas William Harvey was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2004. Thomas had worked at 2 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2008 - February 27, 2013
CURTIS SECURITIES, LLC
March 11, 2004 - July 14, 2008
WELLS FARGO SECURITIES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
CURTIS SECURITIES, LLC
CRD#: 104153 / SEC#: , 8-52613
Contact information
Documents
Red Flags
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