Harry C. Treber
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 Christopher Treber JR, who also goes by Harry Christophe Treber, was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1980. Harry had worked at 6 firms and has passed the Series 65, Series 63, PC, Series 000, Series 1, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2006 - April 7, 2008
TAFFERER TRADING, LLC
April 18, 2006 - August 31, 2006
G-2 TRADING,LLC
June 14, 2000 - May 7, 2002
CARLIN EQUITIES, LLC
March 21, 1998 - July 17, 1998
CITICORP INVESTMENT SERVICES
June 27, 1997 - March 4, 1998
CITICORP INVESTMENT SERVICES
March 6, 1984 - January 5, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 30, 1980 - March 26, 1984
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
PC
Date: 5/1/1980
AMEX Put and Call ExamSeries 000
Date: 4/19/1965
General Securities Principal ExaminationSeries 1
Date: 4/19/1965
Registered Representative ExaminationCurrent Firm
TAFFERER TRADING, LLC
CRD#: 36816 / SEC#: , 8-47474
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOLD BROTHERS INC. | HOLDING CORPORATION | |
| HOLD, GREGORY FRANCIS | CHIEF EXECUTIVE OFFICER | 2169408 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
