Harry L. Sze
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.
Harry Lee Sze MR., who also goes by Harry L Sze, Harry Lee Sze, Harry Sze, was a registered financial advisor .
Harry is a previously registered financial advisor and started their career in finance in 1980. Harry had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 24, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2012 - September 15, 2015
INTERNATIONAL ASSETS ADVISORY, LLC
November 23, 2010 - February 14, 2012
SECURITIES AMERICA, INC.
June 23, 2007 - May 26, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 13, 2005 - June 19, 2007
A. G. EDWARDS & SONS, INC.
October 2, 2003 - July 11, 2005
A. G. EDWARDS & SONS, INC.
October 1, 2003 - June 19, 2007
A. G. EDWARDS & SONS, INC.
September 15, 1999 - September 25, 1999
RONEY & CO.
December 14, 1992 - June 13, 2003
RAYMOND JAMES & ASSOCIATES, INC.
May 3, 1983 - November 9, 1992
FERRIS, BAKER WATTS, LLC
July 12, 1982 - May 13, 1983
ANDERSON & STRUDWICK, INCORPORATED
August 20, 1980 - July 19, 1982
LEGG MASON WOOD WALKER, INCORPORATED
Primary Firm SEC Registration
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
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 8
Date: 7/19/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PECUNIA MANAGEMENT, LLC | OWNER | |
| COFRANCESCO, EDWARD RICHARD | CEO | 2305035 |
| LAMPMAN, MATTHEW EDWARD | PRESIDENT/CHIEF OPERATING OFFICER | 6132493 |
| MOORE, ANN KATHERINE | CHIEF BUSINESS DEVELOPMENT OFFICER | 5535928 |
| NICHOLSON, MYRA PEARLE | CHIEF LEGAL OFFICER, CHIEF RISK OFFICER | 2740029 |
| WEINBERGER, DAVID S | REGISTERED OPTIONS PRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF REGULATORY OFFICER | 2676116 |
| WEISS, RICHARD JAY | CHIEF COMPLIANCE OFFICER, CHIEF AML CCO | 2523174 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
