Harvey Reichenthal
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 Reichenthal 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 Series 5, Series 7, Series 27, Series 53, Series 24, Series 4 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
February 15, 1984 - March 18, 2010
FIRST LIBERTIES FINANCIAL
April 4, 1983 - October 4, 1983
LEHMAN BROTHERS INC.
April 26, 1982 - February 18, 1983
MORGAN STANLEY DW INC.
January 26, 1982 - March 6, 1982
MORGAN STANLEY DW INC.
May 8, 1979 - March 6, 1982
LEHMAN BROTHERS INC.
September 26, 1978 - June 25, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 27, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
June 25, 1976 - April 13, 1978
JANNEY MONTGOMERY SCOTT LLC
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: 10/17/1981
Interest Rate Options ExaminationSeries 8
Date: 6/8/1983
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIRST LIBERTIES FINANCIAL
CRD#: 14432 / SEC#: , 8-30673
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PELION FINANCIAL GROUP, INC. | OWNER | |
| BERGMAN, HILARY GUY | DIRECTOR, PRESIDENT, FINOP, AMLCO, & CHIEF COMPLIANCE OFFICER | 1834738 |
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.
