Harry Abrams
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 Abrams was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1978. Harry had worked at 4 firms and has passed the Series 63, Series 7, Series 4, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 1983 - August 13, 1984
AETNA LIFE INSURANCE AND ANNUITY COMPANY
January 31, 1982 - May 25, 1988
OMNI MUTUAL, INC.
November 10, 1981 - October 15, 1985
METLIFE INVESTORS DISTRIBUTION COMPANY
November 27, 1978 - January 17, 1980
PRUDENTIAL EQUITY GROUP, 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
Current Firm
AETNA LIFE INSURANCE AND ANNUITY COMPANY
CRD#: 13256 / SEC#: , 8-15409
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AETNA RETIREMENT HOLDINGS, INC. | PARENT | |
| BAKER, ALLAN | DIRECTOR AND SENIOR VICE PRESIDENT | 850724 |
| KIM, JOHN YONG | SR. VICE PRESIDENT/CHIEF INVESTMENT OFFICER | 2010539 |
| MCINERNEY, THOMAS JOSEPH | PRESIDENT AND DIRECTOR | 2400561 |
| MURPHY, BRIAN JOHN | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2825925 |
| SMITH, CATHERINE HALE | DIRECTOR, SENIOR VP, CHIEF FINANCIAL OFFICER | |
| WICKMAN, KIRK PETER | SENIOR VP, GENERAL COUNSEL, CORP. SECRETARY | 2836950 |
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.
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