Harold J. Levy

Some features on this profile are disabled

CRD#: 824877

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.

Harold Jay Levy was a registered financial professional .

Harold is a previously registered financial professional and started their career in finance in 1976. Harold had worked at 6 firms and has passed the Series 7TO, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

December 6, 2012 - March 31, 2022

IRIDIAN ASSET MANAGEMENT LLC

RIA

CRD#: 104550

WESTPORT, CT

Past

May 25, 1999 - March 31, 2022

IAM CAPITAL CORPORATION

CRD#: 45034

WESTPORT, CT

Past

August 6, 1987 - April 17, 1996

NATIXIS SECURITIES AMERICAS LLC

CRD#: 1101

NEW YORK, NY

Past

May 21, 1983 - June 27, 1984

LEHMAN BROTHERS KUHN LOEB INCORPORATED

CRD#: 7555

Past

May 10, 1983 - March 25, 1985

LEHMAN BROTHERS INC.

CRD#: 7506

Past

July 22, 1976 - September 18, 1977

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

IRIDIAN ASSET MANAGEMENT LLC

CRD#: 104550 / SEC#: 801-50661

RIA

Registered Investment Advisory firm - (12/5/1995 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/17/1976

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

Current Firm

IRIDIAN ASSET MANAGEMENT LLC

CRD#: 104550 / SEC#: 801-50661

RIA

Registered Investment Advisory firm - (12/5/1995 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

120 Post Road West Suite 201, Westport, CT 06880

Mailing Address

Phone number

(203) 341-7800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

IRIDIAN ASSET MANAGEMENT LLC PART 2A BROCHURE (3/20/2025)

Regulatory assets under management

Total Number of Accounts	20
AUM (Assets Under Management)	$ 366,873,060

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Harold J. Levy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

IAM CAPITAL CORPORATION

NATIXIS SECURITIES AMERICAS LLC

LEHMAN BROTHERS KUHN LOEB INCORPORATED

LEHMAN BROTHERS INC.

UBS ASSET MANAGEMENT (US) INC.

Primary Firm SEC Registration

IRIDIAN ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 7TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/17/1976

Series 24

Date: 1/2/2023

Current Firm

IRIDIAN ASSET MANAGEMENT LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

IRIDIAN ASSET MANAGEMENT LLC

TRUST BUT VERIFY

Similar Advisors