Moshe Hartstein
Professional summary
Moshe Hartstein, who also goes by Michael Hartstein, is a registered financial professional currently at PALLADIUM CAPITAL GROUP, LLC located in New York, New York.
Moshe is registered as a RR (Registered Representative) and started their career in finance in 1999. Moshe has worked at 3 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Moshe Hartstein's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 1, 2005 - Present
PALLADIUM CAPITAL GROUP, LLC
Office #1: 152 West 57th Street Floor 24, New York, NY 10019April 11, 2003 - November 26, 2003
LEEB BROKERAGE SERVICES, INC.
December 7, 1999 - November 1, 2001
JESUP & LAMONT SECURITIES CORP
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/31/2014)
(4/1/2005)
(4/1/2005)
(11/2/2010)
(4/18/2013)
(7/23/2018)
(4/1/2005)
(4/1/2005)
(1/4/2011)
(12/3/2010)
(2/11/2015)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
PALLADIUM CAPITAL GROUP, LLC
CRD#: 129400 / SEC#: , 8-66223
Contact information
FINRA licenses (22 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KURLAND, AKIVA JOSEPH | MEMBER | 5366252 |
| LAZARUS, MARILYN NMI | MEMBER | 5447746 |
| LAZARUS, NORMAN MICHAEL | MEMBER | 7172324 |
| PADOWITZ, JOEL EUGEN | MEMBER | 4725316 |
| MOCH, TAMARA ROSALIE | MEMBER | 7172315 |
| BUCKLEY, ANNE PAUL | CHIEF COMPLIANCE OFFICER | 1781079 |
| MEDREZ, NATAN | PARTIAL OWNER | 4792730 |
| PALLADIUM HOLDINGS, LLC | PARTIAL OWNER | |
| ROOZ, EFRAIM | PARTIAL OWNER | 5823833 |
| SLOVIN, MARK ADAM | CHIEF FINANCIAL OFFICER AND FINOP | 6786999 |
| WEINBERG, ILAN JOSHUA | PARTIAL OWNER | 2354293 |
Disclosures
| Regulatory Event | 1 |
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