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HD

Harry L. Delp

Some features on this profile are disabled
CRD#: 842724
HD

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.

Harry Lawrence Delp JR was a registered financial professional .

Harry is a previously registered financial professional and started their career in finance in 1977. Harry had worked at 8 firms and has passed the Series 63, Series 5, Series 7 and Series 1 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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

October 16, 1990 - November 4, 1991

NATHAN & LEWIS SECURITIES, INC.

BD
CRD#: 8503
Past

December 2, 1988 - September 7, 1990

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

May 18, 1984 - September 27, 1988

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Past

September 26, 1978 - June 11, 1984

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
Past

September 18, 1978 - September 26, 1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

BD
CRD#: 572
Past

September 7, 1977 - July 23, 1978

AMERICAN EXPRESS FINANCIAL CORPORATION

BD
CRD#: 6320
Past

September 7, 1977 - July 23, 1978

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Past

September 7, 1977 - July 23, 1978

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321

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.

Exams

State Security Law Exam
RR
Series 63
Date: 9/12/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 5
Date: 10/19/1981
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 7
Date: 9/16/1978
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 8/29/1977
Registered Representative Examination

Current Firm

N&
NATHAN & LEWIS SECURITIES, INC.
NATHAN & LEWIS SECURITIES, INC. | NATHAN, LEWIS & GRANT, INC.

CRD#: 8503 / SEC#: , 8-25463

BD
Terminated by SEC on 10/12/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 07/30/1980
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
NL HOLDING CORP. (DEL)STOCK HOLDING CO.
AQUINO, VIRGELAN ERNESTOVICE PRESIDENT2976229
BERENGER, RICHARD WALTERCOMPLIANCE OFFICER1041622
MARTZ, ROBERT NICHOLASVICE PRESIDENT1901431
PETERSEN, ROBERT HENRYVICE PRESIDENT & CHIEF FINANCIAL OFFICER361234

Disclosures

Regulatory Event2
Arbitration1
Bond1

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.

Company Information

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

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