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HL

Harold A. Litwin

Some features on this profile are disabled
CRD#: 706140
HL

Professional summary

Harold Arthur Litwin was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Harold is a previously registered financial professional and started their career in finance in 1980. Prior to being barred, Harold had worked at 6 firms, which includes SPENCER-WINSTON SECURITIES CORPORATION, LAIDLAW & COMPANY (UK) LTD., SANDS BROTHERS & CO. LTD., BLUESTONE CAPITAL CORP., SSI SECURITIES CORP., LITWIN SECURITIES INC..

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 9, 2005 - August 23, 2018

SPENCER-WINSTON SECURITIES CORPORATION

BD
CRD#: 8300
HALLANDALE, FL
Past

September 27, 2004 - November 28, 2005

LAIDLAW & COMPANY (UK) LTD.

BD
CRD#: 119037
LONDON,
Past

November 19, 2001 - November 5, 2004

SANDS BROTHERS & CO., LTD.

BD
CRD#: 26816
NEW YORK, NY
Past

August 31, 2001 - November 26, 2001

BLUESTONE CAPITAL CORP.

BD
CRD#: 13516
NEW YORK, NY
Past

July 9, 1997 - August 31, 2001

SSI SECURITIES CORP.

BD
CRD#: 8275
BOCA RATON, FL
Past

March 14, 1980 - June 16, 1998

LITWIN SECURITIES INC.

BD
CRD#: 10060
MIAMI BEACH, FL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/29/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/23/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 18
Date: 3/14/1980
Securities Industry Rules and Regulations Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/21/1997
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 11/8/1996
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 7/30/1990
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/12/1981
Registered Options Principal Examination

Current Firm

SS
SPENCER-WINSTON SECURITIES CORPORATION
SPENCER-WINSTON SECURITIES CORPORATION

CRD#: 8300 / SEC#: , 8-24995

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

Main Address
45 West 47th Street Suite 402, New York, NY 10036-2825
Mailing Address
45 West 47th Street Suite 402, New York, NY 10036-2825
Phone number
(212) 840-2444
Established
New York since 04/30/1980
Firm type
Corporation
Fiscal year end
April
Firm Size
Small
# of Employees

FINRA licenses (9 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#
GREENVEST GROUP LLCPARTNER
OSCAR ECHMAN ESTATE, KETEVAN GOGOLADZE, EXCUTRIXSHAREHOLDER
BRUNO, VINCENT MICHAELCCO1845833
BRUNO, VINCENT MICHAELPRESIDENT1845833
PATRIKIOS, BILLY MREGISTERED OPTIONS PRINCIPAL3132259
RANKEL, WILLIAM EDWINFINOP2074785

Disclosures

Regulatory Event2
Arbitration5

Red Flags

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Company Information

SPENCER-WINSTON SECURITIES CORPORATION

CRD#: 8300

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