Harry H. Wise
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 H Wise was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1969. Harry had worked at 7 firms and has passed the Series 63, PC, 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
March 18, 1997 - January 26, 1998
DOMINICK & DICKERMAN LLC
August 19, 1991 - November 17, 2005
GLEN RAUCH SECURITIES, INC.
January 10, 1984 - August 7, 1984
AMBER EQUITY CORPORATION
December 6, 1983 - February 13, 2006
MADISON EQUITY CAPITAL CORP.
July 21, 1976 - March 26, 1984
AMCAP SECURITIES CORPORATION
November 9, 1972 - October 19, 1974
SHAREHOLDERS MANAGEMENT COMPANY
June 18, 1969 - December 29, 1972
CARL MARKS & 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
PC
Date: 10/8/1997
AMEX Put and Call ExamSeries 1
Date: 6/13/1969
Registered Representative ExaminationSeries 00
Date: 12/18/1972
General Securities Principal ExaminationCurrent Firm
DOMINICK & DICKERMAN LLC
CRD#: 7344 / SEC#: 801-63247, 8-21076
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DM TRUST | OWNER | |
| DERBY WEST LLC | TRUSTEE OF DM TRUST | |
| HLADEK, ROBERT MICHAEL | CEO | |
| HLADEK, ROBERT MICHAEL | SR. VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2199923 |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 11 |
| Bond | 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.
