GLOBAL PREDICTIONS INC of SAN FRANCISCO, CA is an SEC-registered investment adviser (CRD 327520).
Compensation: Other.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| Alexander Johan Harmsen | CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER | — |
| Carl Reid Hartman | HEAD OF INVESTING; SHAREHOLDER | — |
| Harmsen Alexander Johan | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER | — |
| Hartman Carl Reid | CHIEF COMPLIANCE OFFICER; HEAD OF INVESTING | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-03-18 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED AGAINST GLOBAL PREDICTIONS, INC. ("GLOBAL PREDICTIONS" OR "RESPONDENT"). IN ANTICIPATION OF THE INSTITUTION… | Final | $175K |