HG
Harold I. Goren
ST. BERNARD FINANCIAL SERVICES
Redmond, WA
Some features on this profile are disabled
CRD#: 2014825
HG
Professional summary
Harold Irwin Goren, who also goes by Hal Goren, is a registered financial advisor currently at ST. BERNARD FINANCIAL SERVICES, INC. located in Redmond, Washington.
Harold is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Harold has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Hal Goren
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) Harold Goren Sole propriater 12315 232nd Terrace Rd NE, Redmond WA 98053 100% OWNER AND WA AND CA PROVIDING INVESTMENT AND INSURANCE SERVICES WHICH INCLUDE FIXED ANNUITIES, LIFE, HEALTH AND SPIAS SINCE 1986. INVESTMENT RELATED. 100% TIME SPENT. BUSINESS CONDUCTED AT ADDRESS OF RECORD.
(2) Assured Income Strategies, 12315 232nd Terrace NE, Redmond, WA 98053
Sole Proprietorship 10/15/19, Introducing individuals to lending to commercial real estate developers. 0 hours during trading time.
CRS (Client Relationship Summary) - RIA
Click below to view Harold Irwin Goren's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Harold Irwin Goren'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
February 7, 2017 - Present
ST. BERNARD FINANCIAL SERVICES, INC.
RIA
BD
CRD#: 36956
Redmond, WA
Current
January 9, 2017 - Present
ST. BERNARD FINANCIAL SERVICES, INC.
RIA
BD
CRD#: 36956
Redmond, WA
Past
June 14, 2011 - January 10, 2017
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
REDMOND, WA
Past
February 4, 2008 - January 10, 2017
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
REDMOND, WA
Past
April 24, 1992 - February 6, 2008
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
SAMMAMISH, WA
Past
March 27, 1992 - April 20, 1992
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
Past
May 1, 1990 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
BD
CRD#: 2873
NEW YORK, NY
Past
January 10, 1990 - March 24, 1992
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
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".
SB
ST. BERNARD FINANCIAL SERVICES, INC.
BANKS AND BROWN FINANCIAL ADVISORS | WARD FINANCIAL SERVICES | TURNER FINANCIAL | TULSATAXDEPOT.COM | ST. BERNARD FINANCIAL SERVICES, INC. | ST BERNARD FINANCIAL SERVICES, INC. | SOUTH TEXAS WEALTH | SCHERSHELWEALTH.COM | PULLEN FINANCIAL | MFCENTER.COM | KESSLER FINANCIAL | INTEGRATED FINANCIAL SOLUTIONS OF KANSAS CITY | BISHOP INSURANCE
CRD#: 36956 / SEC#: 801-113763, 8-47566
RIA
Registered Investment Advisory firm - SEC (7/31/2018 Approved)Arkansas
Registered Investment Advisory firm - SEC (11/1/2018 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/21/2018 Terminated)Florida
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/31/2018 Terminated)Indiana
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Louisiana
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Minnesota
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Missouri
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)New York
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Texas
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Virginia
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Washington
Registered Investment Advisory firm - SEC (8/9/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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
California(2/8/2024)
IAR
California(3/4/2024)
RR
Washington(1/9/2017)
IAR
Washington(2/7/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SB
ST. BERNARD FINANCIAL SERVICES, INC.
BANKS AND BROWN FINANCIAL ADVISORS | WARD FINANCIAL SERVICES | TURNER FINANCIAL | TULSATAXDEPOT.COM | ST. BERNARD FINANCIAL SERVICES, INC. | ST BERNARD FINANCIAL SERVICES, INC. | SOUTH TEXAS WEALTH | SCHERSHELWEALTH.COM | PULLEN FINANCIAL | MFCENTER.COM | KESSLER FINANCIAL | INTEGRATED FINANCIAL SOLUTIONS OF KANSAS CITY | BISHOP INSURANCE
CRD#: 36956 / SEC#: 801-113763, 8-47566
RIA
Registered Investment Advisory firm - SEC (7/31/2018 Approved)Arkansas
Registered Investment Advisory firm - SEC (11/1/2018 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/21/2018 Terminated)Florida
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/31/2018 Terminated)Indiana
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Louisiana
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Minnesota
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Missouri
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)New York
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Texas
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Virginia
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Washington
Registered Investment Advisory firm - SEC (8/9/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
1609 West Main St., Russellville, AR 72801
Mailing Address
1609 West Main St., Russellville, AR 72801
Phone number
(479) 967-1200
Established
Arkansas since 03/24/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
109
SEC notice filing (40 States and Territories)
FINRA licenses (46 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 841 |
| AUM (Assets Under Management) | $ 130,472,570 |
Disclosures
| Regulatory Event | 6 |
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.
