Individual Firm
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CHARLES MICHAEL HARVEY
CHARLES M HARVEY
CRD#: 1412569
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 25 Recreation Park Dr
Ste 100
Hingham, MA 02043
Ste 100
Hingham, MA 02043
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4/1/1993
Customer Dispute
Settled
7/20/1992
Customer Dispute
Settled
5/10/1979
Criminal
Final Disposition
State Registrations
B
Alabama 11/16/2015
B
Missouri 1/8/2016
B
Arizona 2/28/2018
B
New Jersey 11/16/2015
B
California 11/17/2015
B
New York 11/16/2015
B
Connecticut 9/20/2023
B
North Carolina 1/2/2025
IA
Connecticut 7/11/2024
B
Pennsylvania 2/7/2023
B
Florida 11/16/2015
B
Rhode Island 11/16/2015
IA
Florida 12/13/2024
B
South Carolina 1/8/2020
B
Georgia 11/16/2015
B
Texas 2/10/2016
B
Louisiana 1/2/2025
IA
Texas 2/11/2016
B
Massachusetts 11/23/2015
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 2/11/2016
B
Registered with this firm since 11/16/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 10/10/2008 - 11/20/2015 | ROCKLAND, MA | |
IA | 03/05/2004 - 10/13/2008 | ROCKLAND, MA | |
B | 03/05/2004 - 10/13/2008 | ROCKLAND, MA | |
B | 02/04/1999 - 04/02/2004 | PHILADELPHIA, PA | |
B | 05/26/1995 - 12/23/1998 | PURCHASE, NY | |
B | 05/06/1993 - 05/25/1995 | NEW YORK, NY | |
B | 11/19/1990 - 04/21/1993 | NEW YORK, NY | |
B | 04/05/1988 - 11/21/1990 | NEW YORK, NY | |
B | 09/25/1985 - 06/08/1988 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.