Harold L. Klein
Professional summary
Harold Lawrence Klein 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 1981. Prior to being barred, Harold had worked at 5 firms, which includes SSI EQUITY SERVICES INC., TOWER SQUARE SECURITIES INC., ADVANTAGE CAPITAL CORPORATION, EQUITABLE ADVISORS LLC, THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES.
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Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 12, 2000 - January 17, 2006
SSI EQUITY SERVICES, INC.
February 23, 1996 - October 18, 2000
TOWER SQUARE SECURITIES, INC.
August 15, 1994 - February 26, 1996
ADVANTAGE CAPITAL CORPORATION
August 11, 1993 - August 15, 1994
TOWER SQUARE SECURITIES, INC.
March 31, 1983 - June 21, 1993
EQUITABLE ADVISORS, LLC
April 17, 1981 - June 21, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
State Registrations and Notice Filings
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Exams
Current Firm
SSI EQUITY SERVICES, INC.
CRD#: 45984 / SEC#: , 8-51261
Contact information
Documents
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