Harold D. Ewen
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 David Ewen, who also goes by Harold D Ewen, was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1979. Harold had worked at 3 firms and has passed the Series 63, SIE, Series 7 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
May 25, 2004 - January 4, 2018
CEA ATLANTIC ADVISORS, LLC
March 17, 1983 - February 19, 2003
COMMUNICATIONS EQUITY ASSOCIATES, LLC
October 20, 1979 - July 12, 1982
WARBURG PARIBAS BECKER INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
CEA ATLANTIC ADVISORS, LLC
CRD#: 127146 / SEC#: , 8-65962
Contact information
FINRA licenses (12 States and Territories)
Documents
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.
