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HL

Harold N. Lindenthal

Some features on this profile are disabled
CRD#: 1231111
HL

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Harold Nmn Lindenthal was a registered financial professional .

Harold is a previously registered financial professional and started their career in finance in 1983. Harold had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 2 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 6, 2017 - May 24, 2018

QUANTUM CAPITAL, LLC

BD
CRD#: 143530
DURHAM, NC
Past

July 20, 2005 - December 3, 2014

CATO CAPITAL, LLC

BD
CRD#: 133142
New York, NY
Past

February 28, 2002 - December 17, 2002

HARTFORD CAPITAL ASSOCIATES, LLC

RIA
CRD#: 104311
HARTFORD, CT
Past

January 4, 2001 - March 3, 2003

HARTFORD CAPITAL ASSOCIATES, LLC

BD
CRD#: 104311
HARTFORD, CT
Past

October 10, 1995 - January 2, 2001

BERKELEY GLOBAL ASSOCIATES, INC.

BD
CRD#: 38856
ANTIOCH, CA
Past

April 7, 1995 - September 18, 1995

COLIN WINTHROP & CO., INC.

BD
CRD#: 26012
JERICHO, NY
Past

December 8, 1992 - May 24, 1993

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

December 8, 1992 - May 24, 1993

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

December 2, 1983 - December 13, 1990

AMPAL SECURITIES CORPORATION

BD
CRD#: 11123

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/27/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/24/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/19/1985
General Securities Representative Examination
General Industry/Product Exam
RR
Series 2
Date: 3/13/1981
Non-Member General Securities Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/27/1985
General Securities Principal Examination

Current Firm

QC
QUANTUM CAPITAL, LLC
QUANTUM CAPITAL, LLC

CRD#: 143530 / SEC#: , 8-67579

BD
Terminated by SEC on 10/30/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
North Carolina since 06/19/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SYPHERS, SCOTT AARONMANAGING MEMBER/CEO/CCO/CFO3073399

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

QUANTUM CAPITAL, LLC

CRD#: 143530

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