Harvey A. Hartenstein
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.
Harvey Arnold Hartenstein was a registered financial advisor .
Harvey is a previously registered financial advisor and started their career in finance in 1981. Harvey had worked at 5 firms and has passed the Series 65, Series 62, Series 2 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2005 - October 7, 2010
GREENBOOK INVESTMENT MANAGEMENT, INC.
January 4, 2005 - February 1, 2005
GREENBOOK INVESTMENT MANAGEMENT, INC.
January 16, 2003 - December 31, 2004
XELAN FINANCIAL PLANNING, INC.
January 10, 2003 - January 16, 2003
XELAN INVESTMENT SERVICES, INC.
November 6, 1992 - November 20, 1992
XELAN SECURITIES CORPORATION
June 17, 1981 - February 14, 1990
HART-PATTERSON & ASSOCIATES, INC.
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 62
Date: 1/5/1989
Corporate Securities Limited Representative ExaminationSeries 2
Date: 2/9/1980
Non-Member General Securities ExaminationCurrent firm
No current employment
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.
