Harold Weinfeld
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.
Harold Weinfeld was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1970. Harold had worked at 11 firms and has passed the Series 63, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 1982 - December 31, 2016
CADARET, GRANT & CO., INC.
June 6, 1982 - October 12, 1984
R.M. STARK & CO., INC.
April 12, 1978 - December 2, 1982
INDEPENDENT SECURITIES CORPORATION
April 30, 1976 - December 9, 1982
INDEPENDENT FINANCIAL PLANNERS CORPORATION
February 27, 1975 - December 9, 1991
TOWER SQUARE SECURITIES, INC.
January 7, 1975 - October 30, 1976
INDEPENDENT SECURITIES CORPORATION
January 18, 1974 - January 14, 1975
SOMERSET EQUITIES COPRORATION
August 22, 1972 - September 21, 1972
PSC COMPANY INC
July 3, 1972 - July 31, 1972
DYNAVEST SECURITIES, INC.
February 21, 1972 - February 12, 1974
PSC SECURITIES, INC.
December 24, 1970 - August 11, 1972
CNA INVESTOR SERVICES, INC.
March 30, 1970 - January 24, 1971
MERIDIAN SECURITIES CORP
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 1
Date: 3/22/1960
Registered Representative ExaminationCurrent Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
