HM
Harold N. Mandelbaum
CETERA INVESTMENT ADVISERS LLC
NEW YORK, NY
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CRD#: 2097372
HM
Professional summary
Harold Neil Mandelbaum, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in New York, New York and CETERA WEALTH SERVICES, LLC located in New York, New York.
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 7 firms and has passed the Series 63, SIE and Series 7 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) Guardian Berkshire~'NIR'~PO Box 26210~Lehigh Valley~PA~18002~Independent Insurance Agent~Insurance Sales Agent~1/1/1997~1hrs~1hrs~I was approved in in 1997 for disablity sales through Guardian Berkshire 2) Harold N. Mandelbaum CPA~'NIR'~555 Fifth Avenue 9th Fl~new york~NY~10017~Tax Preparation/Accounting~Owner/Sole Proprietor~1/1/1993~120hrs~120hrs~Tax, Consulting and Bus Mngt Services 3) Joseph A. Salamo~'NIR'~555 Fifth Ave, 9th FL~New York~NY~10017~Accounting/Bookkeeping (No Tax Preparation)~Other~1/1/1993~120hrs~120hrs~Position: CPA 4) United Health Care~'NIR'~246 Industrial Way~Eaton Town~NM~07724~Independent Insurance Agent~Insurance Sales Agent~1/1/2007~2hrs~2hrs~Health Insurance 5) Auldbrass Partners LLC~'IR'~250 Park Ave, NY, NY~New York~NY~10177~Accounting Services/Tax Preparation~Independent Contractor~9/1/2018~6hrs~6hrs~I Provide Outsourced Controller Services. I bill Through My Accounting Practice (Not a W-2 Employee), But I am viewed as an outsourced Controller
CRS (Client Relationship Summary) - RIA
Click below to view Harold Neil Mandelbaum'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®
CFP®
Start date: 1996
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
NEW YORK, NY
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 555 5th Avenue Ste 900, New York, NY 10017Office #2: 555 Fifth Avenue 9th Floor Suite 900, New York, NY 10017BD
CRD#: 13572
New York, NY
Past
August 20, 2021 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
New York, NY
Past
January 26, 2006 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
NEW YORK, NY
Past
January 10, 2003 - June 30, 2005
YANKEE FINANCIAL GROUP, INC.
BD
CRD#: 17966
MELVILLE, NY
Past
August 10, 1993 - December 31, 2002
WISE PLANNING CORP.
BD
CRD#: 899
HICKSVILLE, NY
Past
October 16, 1990 - March 11, 1991
LEHMAN BROTHERS INC.
BD
CRD#: 7506
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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(9/5/2025)
RR
Florida(9/5/2025)
RR
New Jersey(9/5/2025)
RR
New York(9/5/2025)
IAR
New York(9/5/2025)
RR
Pennsylvania(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
