Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Harvey? Claim Your ProfileHarvey Stein has been in the financial services industry since December 1983 and is currently associated with Independent Financial Partners. Harvey holds licenses in 19 states and is also registered with FINRA as a general securities representative. Harvey Stein holds the Series 7, Series 2 and Series 63 licenses and the SIE exam. Harvey is a Chartered Financial Consultant. Harvey has been associated with Independent Financial Partners, LPL Financial LLC, Prime Capital Services, Inc., Nathan & Lewis Securities, Inc., Triad Financial Inc., MLC Securities Corporation, and Aegis Capital Corp.. Independent Financial Partners provides financial planning, investment management, and retirement planning services.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Non-discretionary investment advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Percentage of assets under advisement
1
2
FL
08/09/2019 - Present
Independent Financial Partners (Boca Raton FL)
FL
08/03/2011 - 05/23/2019
LPL FINANCIAL LLC (BOCA RATON FL)
FL
06/25/1996 - 08/09/2011
PRIME CAPITAL SERVICES, INC. (BOCA RATON FL)
NY
04/20/1994 - 10/23/1997
NATHAN & LEWIS SECURITIES, INC. (NEW YORK NY)
NY
01/25/1993 - 05/06/1994
TRIAD FINANCIAL INC. (HOLBROOK NY)
NA
12/04/1990 - 02/18/1993
MLC SECURITIES CORPORATION
NA
12/02/1983 - 01/08/1992
WINDSOR CAPITAL MARKETS CORP.
NA
08/11/1986 - 11/28/1988
AEGIS CAPITAL CORP.
BC
Issued 01/26/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/18/1985
Series 7 - General Securities Representative Examination
BC
Issued 10/21/1980
Series 2 - Non-Member General Securities Examination
Active
Inactive
F
FINRA
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