Harold Jeffrey Bordwin
Professional Summary
Harold Jeffrey Bordwin was a registered financial advisor. Harold was a previously registered financial professional and started their career in finance 2007 - 2022. Harold had worked at 5 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
18 years in the financial services industry
Current & Past Employments
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Current Firm
ICM CAPITAL MARKETS LTD. | LAMPERT CAPITAL MARKETS INC. | INTERNET CAPITAL MARKETS CORPORATION
Contact Information
Main Address
900 Third Ave Suite 1403, Ny, NY 10022Mailing Address
900 Third Ave Suite 1403, Ny, NY 10022Phone Number
(347) 614-4775Established
New York since 09/25/1998Firm Type
CorporationFiscal Year End
AugustFirm Size
SmallFINRA licenses (34 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LAMPERT ADVISORS LLC | SHAREHOLDER | — |
| LAMPERT, STEWART RANDY | CHAIRMAN/CEO DIRECTOR/ CCO | — |
| NG, NELSON | CHIEF FINANCIAL OFFICER | 1716597 |
Disclosures
Regulatory Event
1Arbitration
1Similar Advisors
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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