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Harvey Goldberg

Some features on this profile are disabled
CRD#: 1388790
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 Goldberg was a registered financial professional .

Harvey is a previously registered financial professional and started their career in finance in 1985. Harvey had worked at 13 firms and has passed the Series 63, Series 7, Series 22, Series 6 and Series 26 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

September 5, 2007 - November 21, 2012

HEROLD & LANTERN INVESTMENTS, INC.

BD
CRD#: 30996
MELVILLE, NY
Past

March 29, 2007 - August 2, 2007

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

June 14, 2004 - May 11, 2006

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY
Past

July 1, 2003 - May 24, 2004

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

August 8, 2002 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

May 1, 2002 - August 26, 2002

WAMU INVESTMENTS, INC.

BD
CRD#: 599
IRVINE, CA
Past

October 20, 1999 - May 1, 2002

DIME SECURITIES, INC.

BD
CRD#: 28955
BROOKLYN, NY
Past

May 14, 1999 - November 10, 1999

KEY CLEARING CORP.

BD
CRD#: 37595
BROOKLYN, OH
Past

June 19, 1997 - May 14, 1999

KEY INVESTMENTS INC.

BD
CRD#: 15873
CLEVELAND, OH
Past

September 3, 1996 - June 24, 1997

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, NY
Past

May 2, 1994 - December 21, 1994

JARON EQUITIES CORP.

BD
CRD#: 5764
HICKSVILLE, NY
Past

December 6, 1989 - December 3, 1993

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY
Past

January 1, 1988 - November 21, 1989

AETNA LIFE INSURANCE AND ANNUITY COMPANY

BD
CRD#: 13256
HARTFORD, CT
Past

August 26, 1985 - November 30, 1987

NYLIFE SECURITIES LLC

BD
CRD#: 5167

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: 9/11/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/26/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 12/7/1990
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/23/1985
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 10/14/1998
Investment Company Products/Variable Contracts Principal Examination

Current Firm

H&
HEROLD & LANTERN INVESTMENTS, INC.
HEROLD & LANTERN INVESTMENTS, INC. | LANTERN INVESTMENTS, INC.

CRD#: 30996 / SEC#: , 8-45285

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
35 Pinelawn Road Suite 101e, Melville, NY 11747
Mailing Address
35 Pinelawn Road Suite 101e, Melville, NY 11747
Phone number
(631) 454-2000
Established
Delaware since 08/28/1992
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PERCHERON ASSET MANAGEMENT GROUP, INC.OWNER
HEROLD, LAWRENCE STEPHENCHIEF OPERATING OFFICER/FINOP870531
LANTON, KEITH MICHAELPRESIDENT1703378
SHEFTEL, WENDY DIANECHIEF COMPLIANCE OFFICER2300282

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

HEROLD & LANTERN INVESTMENTS, INC.

CRD#: 30996

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