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HH

Harriet Habert

OLD CITY SECURITIES LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 5377362
HH

Professional summary

Harriet Habert is a registered financial professional currently at OLD CITY SECURITIES LLC located in New York, New York.

Harriet is registered as a RR (Registered Representative) and started their career in finance in 2007. Harriet has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 3 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Harriet Habert's CRS (Customer Relationship Summary).
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®
None

Experience

Current

August 3, 2020 - Present

OLD CITY SECURITIES LLC

Office #1: 589 Fifth Avenue Ph, New York, NY 10017
BD
CRD#: 171910
New York, NY
Past

April 25, 2019 - July 27, 2020

TOP CAPITAL ADVISORS, INC.

BD
CRD#: 166881
INGLEWOOD, CA
Past

February 12, 2018 - August 16, 2018

INVESCO ADVISERS, INC.

RIA
CRD#: 105360
New York, NY
Past

May 9, 2017 - August 16, 2018

INVESCO DISTRIBUTORS, INC.

BD
CRD#: 7369
NEW YORK, NY
Past

August 8, 2012 - March 25, 2013

GREENSLEDGE CAPITAL MARKETS LLC

BD
CRD#: 151026
NEW YORK, NY
Past

October 1, 2010 - July 9, 2012

KGS-ALPHA CAPITAL MARKETS, L.P.

BD
CRD#: 151705
NEW YORK, NY
Past

April 23, 2010 - October 11, 2010

ELEVATION, LLC

BD
CRD#: 140341
NEW YORK, NY
Past

June 24, 2009 - April 23, 2010

LEDGEMONT CAPITAL MARKETS LLC

BD
CRD#: 119340
NEW YORK, NY
Past

February 3, 2009 - June 22, 2009

NORTHEAST SECURITIES, LLC

BD
CRD#: 25996
NEW YORK, NY
Past

August 1, 2007 - May 21, 2008

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(12/14/2022)
RR
New York
(8/3/2020)
RR
Tennessee
(9/30/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/7/2017
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/9/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/16/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/9/2017
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 12/17/2015
National Commodity Futures Examination
SRO Registrations
RR
FINRA

Current Firm

OC
OLD CITY SECURITIES LLC
OLD CITY SECURITIES LLC

CRD#: 171910 / SEC#: , 8-69488

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
589 Fifth Avenue Ph, New York, NY 10017
Mailing Address
445 Central Avenue, Suite 328, Cedarhurst, NY 11516
Phone number
(212) 671-1976
Established
New York since 04/25/2014
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
OLD CITY SECURITIES HOLDINGS GPHOLDING COMPANY
BARNETT, TREVOR CLARKMEMBER4722196
DAMSKI, SETH ADAMFOUNDING MEMBER2940303
FELDMAN, EYTAN DOVMEMBER, CCO, EXECUTIVE REP, AML SUPERVISOR5708084
MARRONE, MICHAEL THOMASFINOP
SIRIGNANO, GEORGE AMERICUSMANAGING MEMBER6678999

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.

Company Information

OLD CITY SECURITIES LLC

CRD#: 171910New York, NY 10017

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