Harry C. Curtis
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 Croyle Curtis II, who also goes by Harry C Curtis, Harry Croyle Curtis, was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1981. Harry had worked at 11 firms and has passed the Series 63, SIE, Series 87, Series 16 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2016 - August 6, 2020
INSTINET, LLC
September 20, 2010 - November 14, 2016
NOMURA SECURITIES INTERNATIONAL, INC.
April 26, 2010 - August 20, 2010
FM PARTNERS HOLDINGS LLC
March 26, 2002 - May 13, 2008
J.P. MORGAN SECURITIES INC.
September 1, 1998 - March 25, 2002
ROBERTSON STEPHENS, INC.
March 3, 1998 - September 1, 1998
BANCAMERICA SECURITIES, INC.
October 19, 1995 - December 18, 1997
CITIGROUP GLOBAL MARKETS INC.
November 4, 1992 - October 3, 1995
HANIFEN, IMHOFF INC.
May 22, 1989 - November 4, 1992
CITIGROUP GLOBAL MARKETS INC.
December 14, 1984 - May 22, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
October 19, 1982 - January 5, 1984
UBS FINANCIAL SERVICES INC.
September 7, 1982 - November 26, 1984
KIDDER, PEABODY & CO. INCORPORATED
February 23, 1981 - September 16, 1982
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
INSTINET, LLC
CRD#: 7897 / SEC#: 801-108490, 8-23669
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
Current Firm
INSTINET, LLC
CRD#: 7897 / SEC#: 801-108490, 8-23669
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSTINET HOLDINGS INCORPORATED | DIRECT OWNER | |
| CHIULLI, EUGENE JAMES | CHIEF FINANCIAL OFFICER | 2976702 |
| CONE, RANDI J | CHIEF COMPLIANCE OFFICER | 4811453 |
| KENNIFF, ALICE M | ASSOCIATE GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER (INVESTMENT ADVISER) | 5615714 |
| MAURO, LUKE | HEAD OF OPERATIONS | 4188932 |
| MILLIGAN, GERARD THOMAS | PRESIDENT | 2907544 |
| SCHAFFNER, CHRISTY E | PRINCIPAL FINANCIAL OFFICER | 2710171 |
| SISKOVIC, JULIE MARIE | CHIEF COMPLIANCE OFFICER (BROKER-DEALER, CBOE/C2) | 1385048 |
| WEBB, FARON ROSS | GENERAL COUNSEL | 2452057 |
Disclosures
| Regulatory Event | 63 |
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.
