Harley N. Hill
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.
Harley Neal Hill, who also goes by Harley Hill, was a registered financial professional .
Harley is a previously registered financial professional and started their career in finance in 1977. Harley had worked at 7 firms and has passed the Series 63, Series 7, Series 24, Series 39, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 1998 - June 24, 1998
FIRST ASSOCIATED SECURITIES GROUP, INC.
April 2, 1996 - December 31, 1997
BROOKSTREET SECURITIES CORPORATION
January 9, 1995 - April 23, 1996
JWE SECURITIES, INC.
February 19, 1985 - May 25, 1995
SOUND ADVICE INVESTMENTS
February 19, 1982 - October 18, 1982
EMMETT A LARKIN COMPANY, INC.
May 18, 1978 - February 2, 1982
W. P. CROPSEY & COMPANY, INC.
January 27, 1978 - June 5, 1978
BAEHNE & CO.
October 26, 1977 - February 27, 1978
W. P. CROPSEY & COMPANY, INC.
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 40
Date: 10/24/1978
Registered Principal ExaminationCurrent Firm
FIRST ASSOCIATED SECURITIES GROUP, INC.
CRD#: 20597 / SEC#: , 8-38276
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 5 |
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.
