HS
ChFC
HS
ChFC
Harvey Stein is a ChFC-designated registered investment advisor, based in Boca Raton, FL, with 42 years of industry experience.
Location
5550 Glades Road, Ste 250, Boca Raton, FL, 33431
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Regulatory History (2)
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Customer Dispute
July 2016Withdrawn
Customer Dispute
March 2009Settled
Other 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
May 2019 - Present · 7 yrs 2 mos
Independent Financial Partners
September 2011 - Present · 14 yrs 10 mos
Previous Registrations
LPL Financial LLCBroker
August 2011 - May 2019 · 7 yrs 9 mos
Asset & Financial Planning, LTD
June 1998 - August 2011 · 13 yrs 2 mos
Prime Capital Services, INC.Broker
June 1996 - August 2011 · 15 yrs 2 mos
Nathan & Lewis Securities, INC.Broker
April 1994 - October 1997 · 3 yrs 6 mos
Triad Financial INC.Broker
January 1993 - May 1994 · 1 yr 4 mos
Mlc Securities CorporationBroker
December 1990 - February 1993 · 2 yrs 2 mos
Aegis Capital CORP.Broker
August 1986 - November 1988 · 2 yrs 3 mos
Windsor Capital Markets CORP.Broker
December 1983 - January 1992 · 8 yrs 1 mo
State Registrations21 states
AZCACOCTDEFLGAILINMAMDNCNHNJNVNYOHPARISCVA
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.