Harmon D. Kavrell
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.
Harmon David Kavrell, who also goes by Dave Kavrell, was a registered financial professional .
Harmon is a previously registered financial professional and started their career in finance in 1978. Harmon had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 5, Series 3, Series 7 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
August 12, 2013 - January 25, 2016
BOUSTEAD SECURITIES, LLC
May 23, 2013 - July 25, 2013
MERRIMAN CAPITAL, INC.
November 20, 2009 - August 27, 2012
BLAYLOCK VAN, LLC
April 2, 2007 - April 20, 2009
GARDNER RICH, L.L.C.
November 28, 2001 - May 10, 2013
SUTTER SECURITIES INCORPORATED
May 8, 1998 - December 20, 2001
NATIONAL SECURITIES CORPORATION
January 7, 1997 - September 16, 1997
ROTH CAPITAL PARTNERS, LLC
June 2, 1995 - December 23, 1996
CIBC WORLD MARKETS CORP.
August 11, 1993 - June 1, 1995
PRUDENTIAL EQUITY GROUP, LLC
June 4, 1992 - July 19, 1993
MONTGOMERY SECURITIES
June 14, 1982 - May 20, 1992
J.P. MORGAN SECURITIES LLC
November 27, 1978 - June 3, 1982
GOLDMAN SACHS & CO. 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 55
Date: 11/19/2007
Limited Representative-Equity Trader ExamSeries 5
Date: 4/27/1983
Interest Rate Options ExaminationSeries 8
Date: 8/2/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BOUSTEAD SECURITIES, LLC
CRD#: 141391 / SEC#: , 8-67384
Contact information
FINRA licenses (47 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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