Harvey J. Strode
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.
Harvey James Strode was a registered financial professional .
Harvey is a previously registered financial professional and started their career in finance in 2010. Harvey had worked at 3 firms and has passed the Series 63, SIE and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2017 - June 29, 2018
REDTAIL CAPITAL MARKETS, LLC
December 22, 2010 - March 16, 2015
HUNTER WISE SECURITIES, LLC
April 12, 2010 - May 14, 2010
CHRYSALIS CAPITAL GROUP, LLC
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
Series 62
Date: 4/9/2010
Corporate Securities Limited Representative ExaminationCurrent Firm
REDTAIL CAPITAL MARKETS, LLC
CRD#: 169781 / SEC#: , 8-69389
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAUDLE, ANTHONY LANIER | CHAIRMAN & CEO, MANAGING MEMBER, CCO, EXECUTIVE REP, AML SUPERVISOR | 2498387 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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