HW
Harvey Wacht
SHUFRO, ROSE & CO.
New York, NY 10022
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CRD#: 456036
HW
Professional summary
Harvey Wacht is a registered financial advisor currently at SHUFRO, ROSE & CO., LLC located in New York, New York.
Harvey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1970. Harvey has worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC, Series 41, Series 1, Series 24, Series 4 and Series 40 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1.Shufro, Rose & Co., LLC
Investment Related, Address:600 Lexington Ave, 15th Floor, New York, NY 10022, Registered Investment Advisor, Position: Senior Managing Director, Start Date: 02/2001, 150 hours devoted a month, 150 hours devoted during securities trading hours, Duties: Portfolio manager for individual clients accounts.
CRS (Client Relationship Summary) - RIA
Click below to view Harvey Wacht's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 31, 2001 - Present
SHUFRO, ROSE & CO., LLC
Office #1: 600 Lexington Avenue 15th Floor, New York, NY 10022RIA
CRD#: 3403
New York, NY
Past
December 1, 2015 - October 12, 2023
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
New York, NY
Past
January 31, 2001 - December 1, 2015
SHUFRO, ROSE & CO., LLC
BD
CRD#: 3403
NEW YORK, NY
Past
August 19, 1980 - September 6, 1988
HANSON & HANSON INCORPORATED
BD
CRD#: 2129
Past
June 23, 1978 - February 2, 2001
HERZOG, HEINE, GEDULD, LLC
BD
CRD#: 2186
NEW YORK, NY
Past
February 15, 1972 - March 11, 1977
HEINE, FISHBEIN & CO INC
BD
CRD#: 783
Past
May 4, 1971 - March 4, 1972
HALE SECURITIES
BD
CRD#: 1000003
Past
October 20, 1970 - July 11, 1971
KENNETH BOVE & CO., INC.
BD
CRD#: 1280
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SHUFRO, ROSE & CO., LLC
SHUFRO ROSE | SHUFROROSE | SHUFRO, ROSE & EHRMAN, LLC | SHUFRO, ROSE & EHRMAN | SHUFRO, ROSE & CO., LLC
CRD#: 3403 / SEC#: 801-977, 8-4024
RIA
Registered Investment Advisory firm - SEC (4/7/1955 Approved)BD
Terminated by SEC on 02/09/2016
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Connecticut(3/4/2021)
IAR
Florida(6/21/2021)
IAR
New Jersey(9/12/2002)
IAR
New York(4/1/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 7/1/1979
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 41
Date: 6/27/1974
NYSE Allied Member ExaminationGeneral Industry/Product Exam
RR
Series 1
Date: 12/29/1969
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 40
Date: 6/27/1974
Registered Principal ExaminationCurrent Firm
SHUFRO, ROSE & CO., LLC
SHUFRO ROSE | SHUFROROSE | SHUFRO, ROSE & EHRMAN, LLC | SHUFRO, ROSE & EHRMAN | SHUFRO, ROSE & CO., LLC
CRD#: 3403 / SEC#: 801-977, 8-4024
RIA
Registered Investment Advisory firm - SEC (4/7/1955 Approved)BD
Terminated by SEC on 02/09/2016
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Contact information
Main Address
600 Lexington Avenue 15th Floor, New York, NY 10022
Mailing Address
Phone number
(212) 754-5100
Established
New York since 04/01/1997
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees
27
SEC notice filing (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEIT, STEPHEN DAVID | SENIOR MANAGING DIRECTOR | 818707 |
| SHUFRO, EDWARD GEORGE | SENIOR MANAGING DIRECTOR, CEO | 422885 |
| CONTANT, JOHN MARINUS | SENIOR MANAGING DIRECTOR | 2810876 |
| GLASS, STEVEN JEFFREY | SENIOR MANAGING DIRECTOR, CFO, FINOP | 1756153 |
| WACHT, HARVEY | SENIOR MANAGING DIRECTOR | 456036 |
| EDWARDS, MYLES JOSHUA IV | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, AML- CO, GENERAL COUNSEL | 2040332 |
| KAMINSKY, TONIA | SENIOR MANAGING DIRECTOR | 4134855 |
| SHUFRO, GREGORY DAVID | SENIOR MANAGING DIRECTOR | 4718283 |
Regulatory assets under management
| Total Number of Accounts | 1,338 |
| AUM (Assets Under Management) | $ 2,165,482,981 |
Disclosures
| Regulatory Event | 11 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/17/2024 | ||
| 06/14/2023 |
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.
