Karl J. Harz
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.
Karl Joseph Harz was a registered financial professional .
Karl is a previously registered financial professional and started their career in finance in 1993. Karl had worked at 1 firm and has passed the Series 63, Series 22 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 1993 - September 19, 1994
EQUITY ALLIANCE GROUP
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 2/24/1975
Registered Representative ExaminationCurrent Firm
EQUITY ALLIANCE GROUP
CRD#: 31028 / SEC#: , 8-45318
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
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.
