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Harvey D. Gordin

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CRD#: 225620
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 David Gordin was a registered financial professional .

Harvey is a previously registered financial professional and started their career in finance in 1968. Harvey had worked at 9 firms and has passed the Series 63, Series 5, Series 1 and Series 00 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

April 19, 1991 - July 7, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
Past

April 19, 1991 - July 7, 1993

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
Past

March 19, 1984 - June 10, 1989

WEDBUSH SECURITIES INC.

BD
CRD#: 877
Past

September 17, 1979 - March 23, 1984

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

January 18, 1978 - September 17, 1979

LOEB PARTNERS

BD
CRD#: 7534
Past

May 5, 1977 - January 18, 1978

HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED

BD
CRD#: 7394
Past

June 25, 1974 - May 5, 1977

HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED

BD
CRD#: 412
Past

March 26, 1974 - July 4, 1974

EDWARDS & HANLY

BD
CRD#: 6554
Past

July 12, 1968 - April 30, 1974

DUPONT WALSTON, INCORPORATED

BD
CRD#: 870

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: 1/4/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 5
Date: 10/17/1981
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 1
Date: 6/9/1959
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 00
Date: 6/18/1966
General Securities Principal Examination

Current Firm

TP
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
PRIVATE ASSET MANAGEMENT GROUP ("PAMG") | THE PRUDENTIAL INVESTMENT CORPORATION ("PIC") | THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | STRUCTURED FINANCE GROUP ("SFG") | QUANTITATIVE MANAGEMENT ("QM") | PRUDENTIAL RETIREMENT | PRUDENTIAL REAL ESTATE SECURITIES INVESTORS ("PRESI") | PRUDENTIAL REAL ESTATE INVESTORS ("PREI") | PRUDENTIAL INVESTMENTS ASSET MANAGEMENT GROUP ("PIAMG") | PRUDENTIAL INVESTMENTS ("PI") | PRUDENTIAL INVESTMENT MANAGEMENT, INC.("PIM") | PRUDENTIAL GLOBAL ASSET MANAGEMENT ("PGAM") | PRUDENTIAL FIXED INCOME GROUP ("PRUDENTIAL FIXED INCOME") | PRUDENTIAL FINANCIAL, INC. ("PFI") | PRUDENTIAL CAPITAL GROUP ("PCG")

CRD#: 680 / SEC#: 801-12484, 8-13881

BD
Terminated by SEC on 07/05/1996
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Contact information

Main Address
Mailing Address
Phone number
Established
New Jersey since 04/03/1873
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (3/30/2016)

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

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

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