HS
Harvey G. Stein
INDEPENDENT FINANCIAL PARTNERS
Boca Raton, FL 33431
Some features on this profile are disabled
CRD#: 1231200
HS
Professional summary
Harvey Gerald Stein is a registered financial advisor currently at INDEPENDENT FINANCIAL PARTNERS located in Boca Raton, Florida and IFP SECURITIES, LLC located in Boca Raton, Florida.
Harvey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Harvey has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 2 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. 8/21/2013: CAPITAL CONCLUSIONS CORPORATION - NON-VARIABLE INSURANCE DBA - CAPITAL CONCLUSIONS CORPORATION - INV REL - At Reported Business Location(s) - FIXED INSURANCE. - TIME SPENT 25%
2. 02/17/2015: Independent Financial Partners - Registered Investment Advisor DBA - Capital Conclusions Corporation - INV REL - At Reported Business Location(s) - Start 10/01/1998 - 120 Hr/Mo; 120 Hours During Securities Trading
3. 07/08/2016: Serve and Protect Financial, Inc. - DBA - INV REL - At Reported Business Location(s) - Registered Rep and IAR; Start 06/03/2016 - IAR - 40 Hr/Mo; 40 Hours During Securities Trading
4. Harvey Stein; Trustee; Investment related; 19341 Lost Oak Lane, FL; Trustee of the Melvin Siegel Credit Shelter Trust UAD; Start 2/24/2020; 1 hr/mo.
5. JEAN SIEGEL UAD 12/16/91 HARVEY STEIN TTEE - Not Investment Related- 19341 LOST OAKS LN BOCA RATON FL 33498-4840 - This is a Revocable Life insurance Trust, It is only used to pay life insurance premiums. No investments are made within this account. - Trustee - Dec. 16, 1991 - 1Hr/month / 0 hrs during trading
6. IRWIN J OPPER TRUST AGREEMENT UAD 08/30/11 HARVEY STEIN TTEE- Not Investment Related- 19341 LOST OAKS LN BOCA RATON FL 33498-4840 - Trust - Trustee - Aug. 30, 2014 - 1hr/month / 1 hr/month during trading
CRS (Client Relationship Summary) - RIA
Click below to view Harvey Gerald Stein's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 13, 2011 - Present
INDEPENDENT FINANCIAL PARTNERS
Office #1: 5550 Glades Road Ste 250, Boca Raton, FL 33431RIA
CRD#: 125112
Boca Raton, FL
Current
May 23, 2019 - Present
IFP SECURITIES, LLC
Office #1: 5550 Glades Road Ste 250, Boca Raton, FL 33431BD
CRD#: 297287
Boca Raton, FL
Past
August 3, 2011 - May 23, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
BOCA RATON, FL
Past
June 9, 1998 - August 9, 2011
ASSET & FINANCIAL PLANNING, LTD
RIA
CRD#: 110709
BOCA RATON, FL
Past
June 25, 1996 - August 9, 2011
PRIME CAPITAL SERVICES, INC.
BD
CRD#: 18334
BOCA RATON, FL
Past
April 20, 1994 - October 23, 1997
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
January 25, 1993 - May 6, 1994
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
HOLBROOK, NY
Past
December 4, 1990 - February 18, 1993
MLC SECURITIES CORPORATION
BD
CRD#: 16751
Past
August 11, 1986 - November 28, 1988
AEGIS CAPITAL CORP.
BD
CRD#: 15007
Past
December 2, 1983 - January 8, 1992
WINDSOR CAPITAL MARKETS CORP.
BD
CRD#: 13427
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
IF
INDEPENDENT FINANCIAL PARTNERS
3 PEAKS FINANCIAL | FIRST FINANCIAL OF CITRUS COUNTY | FIRST FEDERAL | FIORI FINANCIAL GROUP | FINSPIRE, LLC | FINANCIAL STRATEGIES GROUP | FINANCIAL RESOURCE CENTER | FINANCIAL PRESCRIPTIONS | FINANCIAL PLANNING & CONSULTING, LLC | FINANCIAL PARTNERS | FINANCIAL MANAGEMENT STRATEGIES | FIDELIS FIDUCIARY MANAGEMENT | FHD FINANCIAL | FARHAT FINANCIAL SERVICES | FAMILY WEALTH PLANNING PARTNERS | FAMILY RESIDENCE AND ESSENTILA ENTERPRISES | FAGO WEALTH MANAGEMENT | F4 WEALTH ADVISORS | EXEUNT, LLC | EXECUTAX FINANCIAL | EVS FINANCIAL | ERINE S TOLENTINO | EQUITY, INC. | EQUITY WEALTH MANAGEMENT | ENGLUND & LINDSTEADT FINANCIAL ADVISORS | ELLIS-SUMMER GROUP | EDD HOLDER & ASSOCIATES | EBERST WEALTH MANAGEMENT | E2E FINANCIAL | DTY WEALTH PLANNING SOLUTIONS | DT MOREHEAD, INC. | DIVORCE DIRECTION | DIVIDENT WEALTH MANAGEMENT | DIVDEND WEALTH MANAGEMENT | DIRECTIONAL INVESTMENTS | DILL FINANCIAL SERVICES | DICKMAN FINANCIAL SERVICES | DEW FINANCIAL MANAGEMENT GROUP | DEPTOLA | DELOIA WEALTH MANAGEMENT INC. | DELGADO WEALTH MANAGEMENT | DELANEY FINANCIAL GROUP | DELANCEY WEALTH MANAGEMENT, LLC | DEHAAN WEALTH MANAGEMENT | DCS RETIREMENT CONSULTANTS | DCS PENSIONMARK | DAWES WEALTH MANAGEMENT | DAVIS FINANCIAL | DAVIS ADVANTAGE WEALTH MANAGEMENT | DARPEL, DICKMAN & HARRIGAN WEALTH MANAGEMENT | DARPEL WEALTH MANAGEMENT | DAN T. PEACOCK & ASSOCIATES | D. MARTINI AND ASSOCIATES, INC. | CYPRESS CAPITAL | CYCAP, LLC | CUMMINGS CAPITAL MANAGEMENT | CT FINANCIAL INC | CS HUDGENS CAPITAL MANAGEMENT | COVENANT WEALTH MANAGEMENT | COTTON WEALTH MANAGEMENT ASSOCIATES, LLC | CORNERSTONE RETIREMENT ADVISORS, LLC | CORNERSTONE LEGACY WEALTH MANAGEMENT | CONNORS WEALTH MANAGEMENT | COLTON SMITH, LLC | COLLABORATIVE FINANCIAL SOLUTIONS, LLC | COGENT WEALTH MANAGEMENT, LLC | CLEARPOINT FINANCIAL | CLEAR FINANCIAL STRATEGIES | CLEAR ADVICE FINANCIAL | CHEPENIK FINANCIAL | CHANDLER O'REAR & ASSOCIATES | CHAMPION WEALTH MANAGEMENT | CERTA FINANCIAL PLANNING | CENTERPOINTE WEALTH MANAGEMENT | CDS WEALTH MANAGEMENT, INC. | CDS WEALTH MANAGEMENT | CBB FINANCIAL, INC. | CASTRINOS FINANCIAL | CASTNER JOSEPHS RETIREMENT GROUP INC | CASTERLIN & YOST FINANCIAL SERVICE GROUP | CAPITAL RETIREMENT GROUP | CAPITAL CONCLUSIONS CORPORATION | CAPITAL CONCLUSION CORPORATION | CANOPY ASSET MANAGEMENT | CANARY WEALTH STRATEGIES | CAMERON FINANCIAL MANAGEMENT | CALLESEN WEALTH MANAGEMENT | CALLAHAN WEALTH MANAGEMENT | CADEN CAPITAL | BUILDING FINANCIAL STRENGTH | BUELOW FINANCIAL GROUP | BRYSON WEALTH MANAGEMENT | BRYSON FINANCIAL | BROWNING AGENCY OF PONTE VEDRA, INC. | BROWN SERVICES GROUP | BROWN INVESTMENTS | BRIGHTON WEALTH MANAGEMENT | BRANDENBURG FINANCIAL | BOSCH FINANCIAL | BLUEROCK INVESTMENT SERVICES | BLUEPRINT WEALTH MANAGEMENT | BLUEPRINT RETIREMENT | BLUEPRINT FINANCIAL CORPORATION | BJORK ASSET MANAGEMENT | BJORK ASSET MANAGEMENT, INC. | BIG ROCK WEALTH MANAGEMENT | BENEFITS MATRIX, LLC | BENEDICT WEALTH ADVISORY GROUP, LLC | BELL WEALTH MANAGEMENT | BCG TERMINAL FUDNING CO. | BCG PENSIONMARK | BAY AREA WEALTH MANAGEMENT | BARNES CAPITAL GROUP | BARNES & COMPANY INVESTMENT COUNSEL | BANDCO TEVIS INVESTMENT STRATEGIES | BALANCED ASSET STRATEGIES, LTD. | BALANCED ASSET STRATEGIES | B GREEN WEALTH MANAGEMENT | AXIOS ADVISORY GROUP LTD | AWA INVESTMENT ADVISORS | AVILA INVESTMENTS & INSURANCE GROUP | AVENUE WEALTH MANAGEMENT | AUDET WEALTH ADVISORS | AUDET INVESTMENT MANAGEMENT, INC. | ATLANTIC CAPITAL ADVISORS | ATHANASSIE CAPITAL PARTNERS | ASSURE FINANCIAL SERVIXES, LLC | ASSURE FINANCIAL SERVICES, LLC | ASSET ADVISORS | ASHWOOD WEALTH MANAGEMENT | ARENA & BROWN RETIREMENT CONSULTANTS | ANTONETTI CAPITAL MANAGEMENT | ANCHOR WEALTH MANAGEMENT | AMERITRUST CAPITAL MANAGEMENT | AMELIA WEALTH MANAGEMENT | ALL BENEFITS CONSULTING CORP. | ALFORD-JUNGERS FINANCIAL | AFG, LLC | ADVOCATE CONSULTING GROUP | ADVANTAGE BENEFIT SERVICE | ADVANCED STRATEGIES GROUP, LLC | ACUMEN WEALTH ADVISORS | ACUMEN CAPITAL GROUP | ACCORDANCE PRIVATE WEALTH MANAGEMENT | 7620 DIXIE HIGHWAY, LLC | 401K PLAN PROFESSIONALS | 401K MATRIX | 401K ADVISORS, LLC | 401K ADVISORS INTERMOUNTAIN | 360 WEALTH MANAGEMENT...
CRD#: 125112 / SEC#: 801-69511
RIA
Registered Investment Advisory firm - (9/19/2008 Approved)Florida
Registered Investment Advisory firm - (9/26/2008 Terminated)Georgia
Registered Investment Advisory firm - (9/26/2008 Terminated)New York
Registered Investment Advisory firm - (1/10/2005 Cancelled)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(6/19/2019)
IAR
California(2/3/2017)
RR
California(6/6/2019)
RR
Colorado(3/16/2020)
RR
Connecticut(3/13/2020)
IAR
Connecticut(9/23/2020)
RR
Delaware(3/12/2024)
IAR
Delaware(3/12/2024)
IAR
Florida(9/13/2011)
RR
Florida(5/23/2019)
RR
Georgia(6/7/2019)
IAR
Georgia(6/10/2022)
IAR
Illinois(1/19/2017)
RR
Illinois(6/28/2019)
RR
Indiana(11/13/2025)
RR
Maryland(6/6/2019)
IAR
Massachusetts(3/13/2017)
RR
Massachusetts(6/6/2019)
IAR
Nevada(1/30/2017)
RR
Nevada(6/6/2019)
IAR
New Hampshire(2/26/2025)
RR
New Hampshire(2/27/2025)
IAR
New Jersey(1/23/2017)
RR
New Jersey(6/6/2019)
RR
New York(6/6/2019)
IAR
New York(9/20/2022)
IAR
North Carolina(1/19/2017)
RR
North Carolina(6/6/2019)
IAR
Ohio(1/19/2017)
RR
Ohio(7/25/2019)
RR
Pennsylvania(12/16/2022)
IAR
Pennsylvania(12/16/2022)
IAR
Rhode Island(4/20/2022)
RR
Rhode Island(7/21/2022)
RR
South Carolina(6/6/2019)
IAR
South Carolina(1/3/2022)
IAR
South Dakota(6/7/2022)
IAR
Texas(4/20/2022)
RR
Virginia(6/6/2019)
IAR
Virginia(8/9/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 2
Date: 10/21/1980
Non-Member General Securities ExaminationSRO Registrations
RR
FINRA
Current Firm
IF
INDEPENDENT FINANCIAL PARTNERS
3 PEAKS FINANCIAL | FIRST FINANCIAL OF CITRUS COUNTY | FIRST FEDERAL | FIORI FINANCIAL GROUP | FINSPIRE, LLC | FINANCIAL STRATEGIES GROUP | FINANCIAL RESOURCE CENTER | FINANCIAL PRESCRIPTIONS | FINANCIAL PLANNING & CONSULTING, LLC | FINANCIAL PARTNERS | FINANCIAL MANAGEMENT STRATEGIES | FIDELIS FIDUCIARY MANAGEMENT | FHD FINANCIAL | FARHAT FINANCIAL SERVICES | FAMILY WEALTH PLANNING PARTNERS | FAMILY RESIDENCE AND ESSENTILA ENTERPRISES | FAGO WEALTH MANAGEMENT | F4 WEALTH ADVISORS | EXEUNT, LLC | EXECUTAX FINANCIAL | EVS FINANCIAL | ERINE S TOLENTINO | EQUITY, INC. | EQUITY WEALTH MANAGEMENT | ENGLUND & LINDSTEADT FINANCIAL ADVISORS | ELLIS-SUMMER GROUP | EDD HOLDER & ASSOCIATES | EBERST WEALTH MANAGEMENT | E2E FINANCIAL | DTY WEALTH PLANNING SOLUTIONS | DT MOREHEAD, INC. | DIVORCE DIRECTION | DIVIDENT WEALTH MANAGEMENT | DIVDEND WEALTH MANAGEMENT | DIRECTIONAL INVESTMENTS | DILL FINANCIAL SERVICES | DICKMAN FINANCIAL SERVICES | DEW FINANCIAL MANAGEMENT GROUP | DEPTOLA | DELOIA WEALTH MANAGEMENT INC. | DELGADO WEALTH MANAGEMENT | DELANEY FINANCIAL GROUP | DELANCEY WEALTH MANAGEMENT, LLC | DEHAAN WEALTH MANAGEMENT | DCS RETIREMENT CONSULTANTS | DCS PENSIONMARK | DAWES WEALTH MANAGEMENT | DAVIS FINANCIAL | DAVIS ADVANTAGE WEALTH MANAGEMENT | DARPEL, DICKMAN & HARRIGAN WEALTH MANAGEMENT | DARPEL WEALTH MANAGEMENT | DAN T. PEACOCK & ASSOCIATES | D. MARTINI AND ASSOCIATES, INC. | CYPRESS CAPITAL | CYCAP, LLC | CUMMINGS CAPITAL MANAGEMENT | CT FINANCIAL INC | CS HUDGENS CAPITAL MANAGEMENT | COVENANT WEALTH MANAGEMENT | COTTON WEALTH MANAGEMENT ASSOCIATES, LLC | CORNERSTONE RETIREMENT ADVISORS, LLC | CORNERSTONE LEGACY WEALTH MANAGEMENT | CONNORS WEALTH MANAGEMENT | COLTON SMITH, LLC | COLLABORATIVE FINANCIAL SOLUTIONS, LLC | COGENT WEALTH MANAGEMENT, LLC | CLEARPOINT FINANCIAL | CLEAR FINANCIAL STRATEGIES | CLEAR ADVICE FINANCIAL | CHEPENIK FINANCIAL | CHANDLER O'REAR & ASSOCIATES | CHAMPION WEALTH MANAGEMENT | CERTA FINANCIAL PLANNING | CENTERPOINTE WEALTH MANAGEMENT | CDS WEALTH MANAGEMENT, INC. | CDS WEALTH MANAGEMENT | CBB FINANCIAL, INC. | CASTRINOS FINANCIAL | CASTNER JOSEPHS RETIREMENT GROUP INC | CASTERLIN & YOST FINANCIAL SERVICE GROUP | CAPITAL RETIREMENT GROUP | CAPITAL CONCLUSIONS CORPORATION | CAPITAL CONCLUSION CORPORATION | CANOPY ASSET MANAGEMENT | CANARY WEALTH STRATEGIES | CAMERON FINANCIAL MANAGEMENT | CALLESEN WEALTH MANAGEMENT | CALLAHAN WEALTH MANAGEMENT | CADEN CAPITAL | BUILDING FINANCIAL STRENGTH | BUELOW FINANCIAL GROUP | BRYSON WEALTH MANAGEMENT | BRYSON FINANCIAL | BROWNING AGENCY OF PONTE VEDRA, INC. | BROWN SERVICES GROUP | BROWN INVESTMENTS | BRIGHTON WEALTH MANAGEMENT | BRANDENBURG FINANCIAL | BOSCH FINANCIAL | BLUEROCK INVESTMENT SERVICES | BLUEPRINT WEALTH MANAGEMENT | BLUEPRINT RETIREMENT | BLUEPRINT FINANCIAL CORPORATION | BJORK ASSET MANAGEMENT | BJORK ASSET MANAGEMENT, INC. | BIG ROCK WEALTH MANAGEMENT | BENEFITS MATRIX, LLC | BENEDICT WEALTH ADVISORY GROUP, LLC | BELL WEALTH MANAGEMENT | BCG TERMINAL FUDNING CO. | BCG PENSIONMARK | BAY AREA WEALTH MANAGEMENT | BARNES CAPITAL GROUP | BARNES & COMPANY INVESTMENT COUNSEL | BANDCO TEVIS INVESTMENT STRATEGIES | BALANCED ASSET STRATEGIES, LTD. | BALANCED ASSET STRATEGIES | B GREEN WEALTH MANAGEMENT | AXIOS ADVISORY GROUP LTD | AWA INVESTMENT ADVISORS | AVILA INVESTMENTS & INSURANCE GROUP | AVENUE WEALTH MANAGEMENT | AUDET WEALTH ADVISORS | AUDET INVESTMENT MANAGEMENT, INC. | ATLANTIC CAPITAL ADVISORS | ATHANASSIE CAPITAL PARTNERS | ASSURE FINANCIAL SERVIXES, LLC | ASSURE FINANCIAL SERVICES, LLC | ASSET ADVISORS | ASHWOOD WEALTH MANAGEMENT | ARENA & BROWN RETIREMENT CONSULTANTS | ANTONETTI CAPITAL MANAGEMENT | ANCHOR WEALTH MANAGEMENT | AMERITRUST CAPITAL MANAGEMENT | AMELIA WEALTH MANAGEMENT | ALL BENEFITS CONSULTING CORP. | ALFORD-JUNGERS FINANCIAL | AFG, LLC | ADVOCATE CONSULTING GROUP | ADVANTAGE BENEFIT SERVICE | ADVANCED STRATEGIES GROUP, LLC | ACUMEN WEALTH ADVISORS | ACUMEN CAPITAL GROUP | ACCORDANCE PRIVATE WEALTH MANAGEMENT | 7620 DIXIE HIGHWAY, LLC | 401K PLAN PROFESSIONALS | 401K MATRIX | 401K ADVISORS, LLC | 401K ADVISORS INTERMOUNTAIN | 360 WEALTH MANAGEMENT...
CRD#: 125112 / SEC#: 801-69511
RIA
Registered Investment Advisory firm - (9/19/2008 Approved)Florida
Registered Investment Advisory firm - (9/26/2008 Terminated)Georgia
Registered Investment Advisory firm - (9/26/2008 Terminated)New York
Registered Investment Advisory firm - (1/10/2005 Cancelled)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3030 North Rocky Point Drive West Suite 700, Tampa, FL 33607
Mailing Address
Phone number
(813) 341-0960
Established
Firm type
Fiscal year end
# of Employees
267
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 45,782 |
| AUM (Assets Under Management) | $ 12,538,891,425 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/30/2023 | ||
| 08/28/2023 |
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
INDEPENDENT FINANCIAL PARTNERS
CRD#: 125112Boca Raton, FL 33431TRUST BUT VERIFY
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