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HF

Harvey T. Fine

PENDULUM SECURITIES
Beverly Hills, CA 90210
Some features on this profile are disabled
CRD#: 5695353
HF

Professional summary

Harvey Tze-wei Fine, who also goes by Harvey Tze-wei Fine Mr., is a registered financial professional currently at PENDULUM SECURITIES, LLC located in Beverly Hills, California.

Harvey is registered as a RR (Registered Representative) and started their career in finance in 2020. Harvey has worked at 2 firms and has passed the Series 63, Series 79TO, Series 7TO, SIE and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Harvey Tze-Wei Fine Mr.

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 Harvey Tze-wei Fine'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

February 14, 2024 - Present

PENDULUM SECURITIES, LLC

Office #1: 345 North Maple Drive Suite 160, Beverly Hills, CA 90210
BD
CRD#: 312642
Beverly Hills, CA
Past

October 6, 2020 - February 2, 2024

BDT & MSD PARTNERS, LLC

BD
CRD#: 150459
Santa Monica, CA

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
Arizona
(2/14/2024)
RR
Arkansas
(2/14/2024)
RR
California
(2/14/2024)
RR
Colorado
(2/14/2024)
RR
Connecticut
(2/14/2024)
RR
Delaware
(2/14/2024)
RR
District of Columbia
(2/14/2024)
RR
Florida
(2/14/2024)
RR
Georgia
(2/14/2024)
RR
Hawaii
(2/14/2024)
RR
Illinois
(2/14/2024)
RR
Indiana
(2/14/2024)
RR
Kansas
(2/14/2024)
RR
Louisiana
(2/14/2024)
RR
Maryland
(2/14/2024)
RR
Massachusetts
(2/14/2024)
RR
Michigan
(2/14/2024)
RR
Minnesota
(2/14/2024)
RR
Missouri
(2/14/2024)
RR
Montana
(2/14/2024)
RR
Nevada
(2/14/2024)
RR
New Jersey
(2/14/2024)
RR
New York
(2/14/2024)
RR
North Carolina
(2/14/2024)
RR
Ohio
(2/15/2024)
RR
Oklahoma
(2/14/2024)
RR
Oregon
(2/14/2024)
RR
Pennsylvania
(2/14/2024)
RR
South Carolina
(2/14/2024)
RR
Tennessee
(2/14/2024)
RR
Texas
(2/14/2024)
RR
Utah
(2/14/2024)
RR
Virginia
(2/14/2024)
RR
Washington
(2/14/2024)
RR
Wisconsin
(2/14/2024)
RR
Wyoming
(2/14/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 12/14/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 11/18/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/6/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/6/2019
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/8/2023
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PS
PENDULUM SECURITIES, LLC
PENDULUM SECURITIES, LLC

CRD#: 312642 / SEC#: , 8-70705

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
345 North Maple Drive Suite 160, Beverly Hills, CA 90210
Mailing Address
345 North Maple Drive Suite 160, Beverly Hills, CA 90210
Phone number
(424) 421-6040
Established
Delaware since 12/18/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (36 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#
PENDULUM HOLDINGS, LLCSOLE MEMBER
ATTANASIO, ELIZABETH MARIEFINOP5325007
ROBINSON, ELBERT O'NEAL JR.CEO3104890
SCOTT, KRISTIN HARRISON MS.CCO4714519

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

PENDULUM SECURITIES, LLC

CRD#: 312642Beverly Hills, CA 90210

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