Harvey N. Denker
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 Neil Denker, who also goes by Harvey N Denker, was a registered financial professional .
Harvey is a previously registered financial professional and started their career in finance in 1976. Harvey had worked at 6 firms and has passed the PC and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2000 - July 10, 2001
NATIONAL SECURITIES CORPORATION
April 3, 2000 - November 13, 2000
SHARPE CAPITAL, INC.
February 5, 1999 - April 14, 2000
DONALD & CO. SECURITIES INC.
June 9, 1993 - February 3, 1999
BUCKMAN, BUCKMAN & REID, INC.
April 16, 1979 - June 7, 1991
FINANCIAL SQUARE PARTNERS
April 14, 1976 - June 7, 1977
NEUBERGER SECURITIES CORP.
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
PC
Date: 3/22/1979
AMEX Put and Call ExamCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
