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HB

Harold J. Bordwin

Some features on this profile are disabled
CRD#: 5437570
HB

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 Jeffrey Bordwin was a registered financial professional .

Harold is a previously registered financial professional and started their career in finance in 2007. Harold had worked at 5 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 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

October 4, 2018 - January 3, 2022

LAMPERT CAPITAL MARKETS INC.

BD
CRD#: 103725
New York, NY
Past

December 20, 2016 - September 25, 2018

ARMORY SECURITIES, LLC

BD
CRD#: 147796
EL SEGUNDO, CA
Past

July 9, 2014 - January 2, 2015

B. RILEY & CO., LLC

BD
CRD#: 40355
NEW YORK, NY
Past

September 23, 2013 - June 27, 2014

GAC STRATEGIC ADVISORS, LLC

BD
CRD#: 166193
MELVILLE, NY
Past

December 19, 2007 - December 9, 2010

KPMG CORPORATE FINANCE LLC

BD
CRD#: 103973
NEW YORK, NY

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: 1/28/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 9/25/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/18/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination

Current Firm

LC
LAMPERT CAPITAL MARKETS INC.
ICM CAPITAL MARKETS LTD. | LAMPERT CAPITAL MARKETS INC. | INTERNET CAPITAL MARKETS CORPORATION

CRD#: 103725 / SEC#: , 8-52234

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

Main Address
900 Third Ave Suite 1403, Ny, NY 10022
Mailing Address
900 Third Ave Suite 1403, Ny, NY 10022
Phone number
(347) 614-4775
Established
New York since 09/25/1998
Firm type
Corporation
Fiscal year end
August
Firm Size
Small
# of Employees

FINRA licenses (34 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LAMPERT ADVISORS LLCSHAREHOLDER
LAMPERT, STEWART RANDYCHAIRMAN/CEO DIRECTOR/ CCO
NG, NELSONCHIEF FINANCIAL OFFICER1716597

Disclosures

Regulatory Event1
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

LAMPERT CAPITAL MARKETS INC.

CRD#: 103725

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