Harvey A. Feldman
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 Allen Feldman was a registered financial professional .
Harvey is a previously registered financial professional and started their career in finance in 1974. Harvey had worked at 3 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 1982 - March 3, 1985
VAN CLEMENS & CO. INCORPORATED
October 25, 1978 - July 15, 1979
P. J. KISCH & CO., INC.
January 6, 1976 - June 21, 1976
VAN CLEMENS & CO. INCORPORATED
November 12, 1974 - November 10, 1975
MIDWEST DISCOUNT SECURITIES, 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 1
Date: 11/7/1974
Registered Representative ExaminationCurrent Firm
VAN CLEMENS & CO. INCORPORATED
CRD#: 6914 / SEC#: , 8-18414
Contact information
FINRA licenses (40 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
