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Harold K. Goldstein

Some features on this profile are disabled
CRD#: 224551
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.

Harold Koonin Goldstein was a registered financial professional .

Harold is a previously registered financial professional and started their career in finance in 1969. Harold had worked at 6 firms and has passed the Series 63, PC, Series 3, Series 1 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

December 17, 2008 - January 9, 2013

MARCO POLO SECURITIES INC.

BD
CRD#: 46561
NEW YORK, NY
Past

May 2, 2001 - November 9, 2004

MARCO POLO SECURITIES INC.

BD
CRD#: 46561
NEW YORK, NY
Past

September 15, 1998 - August 10, 2000

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

June 1, 1995 - August 17, 1998

CAMBRIDGE PARTNERS, L.L.C.

BD
CRD#: 37923
Past

October 20, 1993 - January 3, 1995

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
NEW YORK, NY
Past

September 9, 1991 - June 18, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

June 26, 1984 - March 16, 1989

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

February 22, 1978 - June 27, 1984

LEHMAN BROTHERS KUHN LOEB INCORPORATED

BD
CRD#: 7555
Past

January 9, 1969 - February 22, 1978

LEHMAN BROTHERS INCORPORATED

BD
CRD#: 514

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: 12/15/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
PC
Date: 12/17/1991
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 3
Date: 9/21/1991
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 1
Date: 1/6/1969
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/25/1995
General Securities Principal Examination

Current Firm

MP
MARCO POLO SECURITIES INC.
DEVINE SECURITIES INC. | MARCO POLO SECURITIES INC.

CRD#: 46561 / SEC#: , 8-51480

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1230 Avenue Of Am 16th Floor, New York, NY 10020
Mailing Address
1230 Avenue Am 16th Floor, New York, NY 10020
Phone number
(347) 773-4959
Established
New York since 10/26/1998
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (35 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MARCO POLO EXCHANGE LLCOWNER
CARLSON, STEVEN JACKCHAIRMAN & PRESIDENT, MANAGER OF CORP FIN, AND DIRECTOR2026011
EBERSTADT, OLIVER ROBERTCCO1808170
MACK, ALEXANDER HERBERTFINOP4805607

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

MARCO POLO SECURITIES INC.

CRD#: 46561

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