Harvey Stein is a ChFC-designated registered investment advisor, based in Boca Raton, FL, with 42 years of industry experience. Harvey is also registered as a broker, so some compensation may come from commissions on products sold.
Location
5550 Glades Road, Ste 250, Boca Raton, FL, 33431
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Regulatory History (2)
Customer Dispute
July 2016Customer Dispute
March 2009Other Business ActivitiesSells Insurance
Harvey is involved with Capital Conclusions Corporation, including non-variable insurance, spending about a quarter of his time on it. He is also a Registered Rep and IAR with Serve and Protect Financial, Inc., dedicating about a quarter of his time, and serves as a trustee for multiple trusts, requiring minimal time.
Employment History
Current Registrations
Ifp Securities, LLCBroker
Independent Financial Partners
Previous Registrations
LPL Financial LLCBroker
Asset & Financial Planning, LTD
Prime Capital Services, INC.Broker
Nathan & Lewis Securities, INC.Broker
Triad Financial INC.Broker
Mlc Securities CorporationBroker
Aegis Capital CORP.Broker
Windsor Capital Markets CORP.Broker
State Registrations21 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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