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Detailed Report
HARVEY WACHT
CRD#: 456036
IA
Investment Adviser
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Previous Broker
SHUFRO, ROSE & CO., LLCCRD#: 3403 600 LEXINGTON AVENUE
15TH FLOOR
NEW YORK, NY 10022
Registration History
197019751980198519901995200020052010201520202025IASHUFRO, ROSE & CO., LLC (CRD# 3403)2001 - Present (24 years)BPURSHE KAPLAN STERLING INVESTMENTS (CRD# 35747)2015 - 2023 (7 years)BSHUFRO, ROSE & CO., LLC (CRD# 3403)2001 - 2015 (14 years)BHERZOG, HEINE, GEDULD, INC. (CRD# 2186)1978 - 2001 (22 years)BHANSON & HANSON INCORPORATED (CRD# 2129)1980 - 1988 (8 years)BHEINE, FISHBEIN & CO INC (CRD# 783)1972 - 1977 (5 years)BHALE SECURITIES (CRD# 1000003)1971 - 1972 (<1 year)BKENNETH BOVE & CO., INC. (CRD# 1280)1970 - 1971 (<1 year)
Disclosure(s)
View By:
7/13/2009
Customer Dispute
Withdrawn
License(s)

State Registrations

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Connecticut 3/4/2021
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New Jersey 9/12/2002
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Florida 6/21/2021
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New York 4/1/2021
Current Registration(s)
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SHUFRO, ROSE & CO., LLC (CRD#:3403)
600 LEXINGTON AVENUE 15TH FLOOR, NEW YORK, NY 10022
Registered with this firm since 1/31/2001
Previous Registration(s)
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 12/01/2015 - 10/12/2023 PURSHE KAPLAN STERLING INVESTMENTS (CRD#:35747) New York, NY
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 01/31/2001 - 12/01/2015 SHUFRO, ROSE & CO., LLC (CRD#:3403) NEW YORK, NY
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 06/23/1978 - 02/02/2001 HERZOG, HEINE, GEDULD, INC. (CRD#:2186) NEW YORK, NY
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 08/19/1980 - 09/06/1988 HANSON & HANSON INCORPORATED (CRD#:2129)
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 02/15/1972 - 03/11/1977 HEINE, FISHBEIN & CO INC (CRD#:783)
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 05/04/1971 - 03/04/1972 HALE SECURITIES (CRD#:1000003)
B
 10/20/1970 - 07/11/1971 KENNETH BOVE & CO., INC. (CRD#:1280)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.
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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
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.