HK
Herbert L. Kaye
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CRD#: 265572
HK
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.
Herbert Leonard Kaye, who also goes by Herbert Kieselstein, was a registered financial advisor .
Herbert is a previously registered financial advisor and started their career in finance in 1970. Herbert had worked at 16 firms and has passed the Series 63, PC, Series 1, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Herbert Kieselstein
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.
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®
NoneExperience
Past
May 30, 2008 - June 13, 2013
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
BOCA RATON, FL
Past
January 8, 2007 - July 2, 2013
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
BOCA RATON, FL
Past
June 15, 1993 - January 1, 2007
FFP ADVISORY SERVICES INC
RIA
CRD#: 110778
DELRAY BEACH, FL
Past
March 14, 1991 - May 30, 2008
FFP SECURITIES, INC.
BD
CRD#: 16337
DELRAY BEACH, FL
Past
May 11, 1989 - February 14, 1991
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
September 19, 1986 - July 26, 1988
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
Past
August 19, 1986 - September 24, 1986
BISCAYNE SECURITIES CORPORATION
BD
CRD#: 17764
Past
March 14, 1985 - August 1, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
February 23, 1981 - March 6, 1985
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
Past
October 20, 1978 - March 23, 1981
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
November 22, 1977 - November 16, 1978
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
November 1, 1977 - November 22, 1977
SHEARSON HAYDEN STONE INC.
BD
CRD#: 7295
Past
January 4, 1977 - October 31, 1977
LOEB RHOADES & CO. INC.
BD
CRD#: 7502
Past
March 11, 1974 - January 4, 1977
LOEB, RHOADES & CO. INC.
BD
CRD#: 525
Past
May 17, 1972 - July 4, 1973
ECONOMIC RESEARCH ANALYSIS INC
BD
CRD#: 1000003
Past
February 20, 1970 - May 28, 1972
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
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
General Industry/Product Exam
RR
PC
Date: 11/1/1986
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 12/22/1967
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
FA
FIRST ALLIED SECURITIES, INC.
4.0 INVESTMENT MANAGEMENT | GUIDANT PLANNING, INC | GREENVILLE FINANCIAL GROUP, LLC | GREENSIDE FINANCIAL, LTD | GREENBOOK FINANCIAL SERVICES | GORDON H. DICKINSON & CO. | GOLDEN HILLS CAPITAL, LLC | GLOBAL WEALTH PARTNERS | GLOBAL INVESTMENT ADVISORS, INC. | GILBERT CAPITAL MANAGEMENT | GENWEALTH | GENERATIONAL WEALTH MANAGEMENT | GEMINI WEALTH ADVISORS | GARMAN INVESTMENT GROUP | GALLAGHER FINANCIAL GROUP, LLC | FULL CIRCLE INVESTMENT ADVISORS | FREEDOM WEALTH MANAGEMENT | FRED LA MARCA - INSURANCE AGENT | FRCT, LLC | FRCT WEALTH MANAGEMENT GROUP | FRANK JOINER, INC. | FOUR COLUMN INVESTMENT SERVICES | FORTRESS FINANCIAL STRATEGIES LLC | FIRST FINANCIAL ADVISORY SERVICES | FIRST CAPITAL MANAGEMENT & INSURANCE, LLC | FIRST ALLIED WEALTH MANAGEMENT, INC. | FIRST ALLIED WEALTH MANAGEMENT PRIVATE CLIENT SERVICES | FIRST ALLIED WEALTH MANAGEMENT CONSULTING GROUP | FIRST ALLIED WEALTH MANAGEMENT | FIRST ALLIED SECURITIES, INC. | FIRST ALLIED FINANCIAL OF FLORIDA | FIRST ALLIED | FINANCIAL FOUNDATIONS, INC. | FINANCIAL DIRECTIONS GROUP, INC. | FINANCIAL ADVISORY CORPORATION | FINANCIAL ADVISORS SECURITY CORP. | FINANCIAL ADVISORS SECURITIES CORP. | FINANCIAL ADVISORS PLUS, LLC | FFG FISCH FINANCIAL GROUP | FARLEY PLANNING GROUP, INC. | FAMILY WEALTH MANAGEMENT | EVYAVAN ADVISORY SERVICES, LLC | EVERETT FINANCIAL GROUP | ETHOS WEALTH MANAGEMENT | ESSEX CAPITAL ADVISORS | EMPOWERMENT FINANCIAL GROUP, LLC | ELLISON WEALTH MANAGEMENT | ELLISON NOONAN WEALTH MANAGEMENT | EG WILLIAMS FINANCIAL ADVISORS | ED MARTELL & ASSOCIATES | EAGLE WEALTH MANAGEMENT | EAGLE MANAGEMENT, INC. | DUVAL CAPITAL | DUDURICH INVESTMENT ASSOCIATES | DPM CORP | DNH CAPITAL | DIAMOND WEALTH MANAGEMENT | DH CAPITAL MANAGEMENT | DESIMONE FINANCIAL & INSURANCE SERVICES | DEMOAKS PLANNING SERVICES, LTD | DELTA VENTURES FINANCIAL COUNSEL | DEAMOAKS PLANNING SERVICES | DAVE GOTTSCHALK FINANCIAL | DANIEL E. SUTTON, CFP | D R SUMMIT WEALTH MANAGEMENT | CROWN INVESTMENT SERVICES | CROSSWATER | CRESCENT CAPITAL MANAGEMENT, LLC | CREATIVE WEALTH STRATEGIES | CREATIVE CAPITAL WEALTH MANAGEMENT GROUP | CRANE INVESTMENTS | COUYOUMJIAN ASSET MANAGEMENT | CONSOLIDATED WEALTH PARTNERS, LLC | COMPASS FINANCIAL SERVICES, INC. | COE FINANCIAL GROUP, INC. | CLOVERLEAF FINANCIAL GROUP | CHIP COUGHLIN & CO. | CHESTNUT INVESTMENT GROUP | CHARLES R DUNN INVESTMENT ADVISORS | CENTURY FINANCIAL ADVISORS | CAUSEY WEALTH MANAGEMENT | CATAPULT CAPITAL MANAGEMENT | CASSEDY FINANCIAL GROUP, INC. | CARLTON MACLACHLAN, LLC | CARD INVESTMENT GROUP | CAPKO CAPITAL MANAGEMENT, LLC | CAPITOL DEVELOPMENT GROUP | CAPITAL ROCK ADVISORS | CAPITAL INVESTMENT MANAGEMENT | CAPITAL ASSET MONITORING LLC | CAPITAL ASSET MANAGEMENT | CAP PARTNERS | CAMBRIDGE FINANCIAL GROUP LLC | CALIFORNIA RETIREMENT ADVISORS | CADUCEUS CONSULTING | BYERLY WEALTH MANAGEMENT | BULL CHIP | BUCCI WEALTH MANAGEMENT, LLC | BROOKS INVESTMENT GROUP | BROOKS FINANCIAL SERVICES | BIERMAIER FINANCIAL MANAGEMENT | BIERMAIER & MCMAHON FINANCIAL MANAGEMENT LLC | BIAGINI GRASSI ADVISORY GROUP, LLC | BH WEALTH MANAGEMENT | BERKELEY WEALTH PROFESSIONALS, PLLC | BAUGHMAN WEALTH ADVISORS, INC | BAUGHMAN FINANCIAL GROUP | BAUER FINANCIAL SERVICES | BAKER & COMPANY ADVISORY GROUP, INC. | BAHARY FINANCIAL GROUP | BAAM SECURITIES AND WEALTH MANAGEMENT, LLC | AW WEALTH ADVISORY | AVEY & GRAVES WEALTH MANAGEMENT | ASSET PLANNING STRATEGIES | ARMSTRONG & ASSOCIATES | ARCHE WEALTH MANAGEMENT | APPLE INVESTMENT MANAGEMENT, LLC | APEX WEALTH MANAGEMENT | ANIMAS CAPITAL MANAGEMENT | ANALYTIC WEALTH STRATEGIES | AMWELL RIDGE WEALTH MANAGEMENT | ALPHA INVESTMENT SERVICES | ALLIANCE WEALTH MANAGEMENT | ALEXANDER FINANCIAL SERVICES, INC. | ALCOSTA CAPITAL MANAGEMENT | AIM GROUP | AFG WEALTH MANAGEMENT | AEQUTIS PRIVATE WEALTH MANAGEMENT | ADVANCED WEALTH STRATEGIES, LLC | ADVANCED WEALTH PLANNING | ADVANCED FINANCIAL SERVICES | ADVANCED EQUITIES WEALTH MANAGEMENT PRIVATE CLIENT SERVICES | ADVANCED CORPORATE PLANNING | ADAMS FINANCIAL SERVICES, PA | ADAMS FINANCIAL SERVICES, P.A. | A.D.N. WEALTH MANAGEMENT GROUP | A. PORTER ROCKWELL, INC. | A-1 FINANCIAL | 401(K) ALLIANCE...
CRD#: 32444 / SEC#: 801-47805, 8-46167
BD
Terminated by SEC on 11/28/2022
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Contact information
Main Address
655 W. Broadway 12th Floor, San Diego, CA 92101-8114
Mailing Address
Phone number
Established
New York since 03/30/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (2 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST ALLIED HOLDINGS, INC. | SOLE SHAREHOLDER | |
| ARNOLD, SUMMER SELTZER | VICE PRESIDENT | 2954103 |
| BOWMAN, TIMOTHY JOSEPH | PRINCIPAL FINANCIAL OFFICER | 2247374 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| CHAFFIN, GARY LYNN | TAX OFFICER | 6819431 |
| DEL VALLE, ELISA ANNE-MARIE | VICE PRESIDENT | 4807911 |
| GILL, GEORGE ANDREW | VICE PRESIDENT | 4498537 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HARRISON, BRETT LAMAR | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4032238 |
| IYENGAR, JANANI RAVI | TREASURER | 6780478 |
| KESTERSON, BARBARA JO | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 2747533 |
| LEE, WINNIE | ASSISTANT SECRETARY | 7381661 |
| LISCHIN, MALISSA BLAKE | VICE PRESIDENT | 2505496 |
| MERRILL, GARRETT JAMES | VICE PRESIDENT | 4306692 |
| MIZUGUCHI, MAURA RIE | CHIEF ACCOUNTING OFFICER | 5769181 |
| NEARY, JOSEPH DANIEL | DIRECTOR AND VICE PRESIDENT | 2993505 |
| ROGERS, JAN WILLIAM | AML COMPLIANCE OFFICER | 2414139 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| TAYLOR, THOMAS BYRON | MANAGER | 2193426 |
| UMANSKY, DANIEL ADAM | VICE PRESIDENT | 1806953 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| VANNOY-PINEDA, KATHLEEN DENISE | CHIEF COMPLIANCE OFFICER | 1347526 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 16 |
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.
