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Harvey Golub

Some features on this profile are disabled
CRD#: 1286058
HG

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.

Harvey Golub was a registered financial professional .

Harvey is a previously registered financial professional and started their career in finance in 1988. Harvey had worked at 5 firms and has passed the Series 63, SIE, Series 62 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

May 2, 2012 - July 21, 2020

MILLER BUCKFIRE & CO., LLC

BD
CRD#: 104156
NEW YORK, NY
Past

August 26, 1993 - March 9, 2000

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

March 27, 1991 - November 5, 1993

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

March 27, 1991 - November 5, 1993

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

August 15, 1988 - August 29, 1999

AMERICAN EXPRESS FINANCIAL CORPORATION

BD
CRD#: 6320
MINNEAPOLIS, MN

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: 8/9/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 62
Date: 5/1/2012
Corporate Securities Limited Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/14/1989
General Securities Principal Examination

Current Firm

MB
MILLER BUCKFIRE & CO., LLC
DDC SECURITIES, INC. | RPI SECURITIES, INC. | MILLER BUCKFIRE YING & CO., LLC | MILLER BUCKFIRE LEWIS YING & CO., LLC | MILLER BUCKFIRE LEWIS & CO., LLC | MILLER BUCKFIRE & CO., LLC

CRD#: 104156 / SEC#: , 8-52631

BD
Terminated by SEC on 09/29/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 04/29/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MB ADVISORY GROUP LLCMEMBER
BUCKFIRE, KENNETH ALANPRESIDENT1713009
JOHNSTONE, MARY CARLTONCCO1170408
SMITH, RICHARD WILLIAMPRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER1333488

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

MILLER BUCKFIRE & CO., LLC

CRD#: 104156

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