Harvey R. Kohn
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 Richard Kohn, who also goes by Harvey R Kohn, was a registered financial professional .
Harvey is a previously registered financial professional and started their career in finance in 1976. Harvey had worked at 14 firms and has passed the Series 63, SIE, Series 5, PC, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2013 - April 6, 2015
PRINCIPAL SECURITIES, INC.
September 15, 2008 - May 16, 2011
TRIDENT PARTNERS LTD.
August 14, 2006 - December 3, 2009
EQUITY SOURCE PARTNERS, LLC
May 14, 2003 - August 17, 2006
LAIDLAW & COMPANY (UK) LTD.
February 22, 1997 - March 21, 2003
KSH INVESTMENT GROUP, INC.
July 31, 1993 - January 24, 1997
CITIGROUP GLOBAL MARKETS INC.
February 2, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
January 20, 1987 - January 28, 1991
UBS FINANCIAL SERVICES INC.
October 23, 1985 - February 3, 1987
ROONEY, PACE INC.
May 16, 1985 - October 23, 1985
KUHNS BROTHERS & LAIDLAW, INC.
July 12, 1984 - April 8, 1985
CRALIN & CO., INC.
September 10, 1981 - June 15, 1984
CIBC WORLD MARKETS CORP.
January 14, 1981 - September 18, 1981
J.P. MORGAN SECURITIES LLC
May 19, 1978 - January 19, 1981
CIBC WORLD MARKETS CORP.
January 27, 1976 - July 5, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
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 5
Date: 10/12/1981
Interest Rate Options ExaminationPC
Date: 1/12/1981
AMEX Put and Call ExamSeries 8
Date: 12/5/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
