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HL

Harold Ralph Lamar

CRD# 1843488·Registered 1988 - 1997
Previously Registered: Being a previously registered professional could mean that Harold 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.

Professional Summary

Harold Ralph Lamar, who also goes by Harold Ralph Lamarr Jr, Harold Ralph Lamarr, was a registered financial advisor. Harold was a previously registered financial professional and started their career in finance 1988 - 1997. Harold had worked at 8 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Harold Ralph Lamarr Jr, Harold Ralph Lamarr

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

37 years in the financial services industry

Current & Past Employments

GILFORD SECURITIES INCORPORATED·CRD# 8076
BD
New York, NY
March 6, 1997 - June 5, 1997
INVESTORS ASSOCIATES, INC.·CRD# 958
BD
Hackensack, NJ
January 18, 1996 - February 14, 1997
STATE CAPITAL MARKETS CORPORATION·CRD# 13685
BD
New York, NY
December 5, 1995 - December 13, 1995
AXIOM CAPITAL MANAGEMENT, INC.·CRD# 26580
BD
New York, NY
April 20, 1995 - June 21, 1995
LADENBURG THALMANN & CO. INC.·CRD# 505
BD
New York, NY
October 29, 1991 - February 6, 1995
JJC SECURITIES CO., INC.·CRD# 3144
BD
May 29, 1990 - July 23, 1990
JSC SECURITIES, INC.·CRD# 475
BD
October 20, 1989 - May 29, 1990
INVESTORS CENTER, INC.·CRD# 14670
BD
Hauppague, NY
December 21, 1988 - March 10, 1989

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Current Firm

GS
GILFORD SECURITIES INCORPORATED

GILFORD SECURITIES INCORPORATED

CRD#: 8076 / SEC#: 8-24230
BD
Terminated by SEC on 12/28/2015

Contact Information

Established

New York since 09/24/1979

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
WORTHINGTON, RALPH IVCHAIRMAN AND CEO, CHIEF COMPLIANCE OFFICER472943
SACHS, BONNIE JANE EDELMANDIRECTOR, CFO, COO725100

Disclosures

Regulatory Event

21

Arbitration

29

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 1989About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Dec 1988About the Series 7 exam

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CRS (Client Relationship Summary)

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

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HL
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