Harveen K. Bhathal
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.
Harveen Kaur Bhathal was a registered financial professional .
Harveen is a previously registered financial professional and started their career in finance in 2024. Harveen had worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2024 - May 2, 2025
WOLF GROUP CAPITAL ADVISORS
State Registrations and Notice Filings
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Current Firm
WOLF GROUP CAPITAL ADVISORS
CRD#: 111647 / SEC#: 801-61501
Contact information
Regulatory assets under management
| Total Number of Accounts | 875 |
| AUM (Assets Under Management) | $ 526,794,579 |
Red Flags
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