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JH

Jack Halpern

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CRD#: 600979
JH

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.

Jack Halpern was a registered financial professional .

Jack is a previously registered financial professional and started their career in finance in 1970. Jack had worked at 11 firms and has passed the Series 63, Series 1, Series 4 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

June 8, 1994 - January 30, 2008

FIRST MONTAUK SECURITIES CORP.

BD
CRD#: 13755
VAN NUYS, CA
Past

January 22, 1990 - May 27, 1994

YAEGER SECURITIES, INC.

BD
CRD#: 10118
Past

November 7, 1989 - January 9, 1990

T.R. WINSTON & COMPANY, LLC

BD
CRD#: 10571
BEDMINSTER, NJ
Past

October 10, 1975 - October 24, 1989

C. L. MCKINNEY & CO., INC.

BD
CRD#: 2735
Past

May 20, 1974 - November 29, 1975

DEUTSCHE IXE, LLC

BD
CRD#: 7172
Past

November 27, 1973 - June 11, 1974

MAUNEY COMPANY

BD
CRD#: 676
Past

June 25, 1973 - May 9, 1974

G L BISHOP COMPANY

BD
CRD#: 1000006
Past

November 28, 1972 - August 30, 1973

FIRST CALIFORNIA COMPANY, INCORPORATED

BD
CRD#: 301
Past

July 22, 1971 - November 9, 1973

CALIFORNIA INVESTORS INCORPORATED

BD
CRD#: 131
Past

January 14, 1971 - August 14, 1971

B. J. LERNER & COMPANY, INC.

BD
CRD#: 946
Past

June 4, 1970 - March 20, 1971

SECURITIES UNLIMITIED OF BEVERLY HILLS

BD
CRD#: 1000002

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: 4/9/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 1
Date: 11/18/1968
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 8/4/1981
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/29/1981
General Securities Principal Examination

Current Firm

FM
FIRST MONTAUK SECURITIES CORP.
ADVANCED INVESTMENT | WEALTH MANAGEMENT DESIGN | WASHINGTON ASSET MANAGEMENT | VENTURE WEALTH MANAGEMENT | VC MANAGEMENT | UNION ADVANTAGE FINANCIAL | THE LARAWAY FINANCIAL GROUP | THE CARDINAL HILL GROUP | SHARMA CAPITAL | SCHREIBER INVESTMENT COMPANY | ROME CAPITAL MANAGEMENT | QUIGLEY TAX ADVISORY GROUP | PHG ASSET MANAGEMENT & DEVELOPMENT | PERSONAL INVESTMENT CENTERS | MONTAUK FINANCIAL GROUP | MOFIELD & ASSOC. | MILLER AND CHRISTIAN ASSET MANAGEMENT | MFG/BOGGS,BUSTAMANTE,BELMONTE FINANCIAL GROUP | MCM CONSULTING & MANAGEMENT SERFICES | LYL INVESTMENTS | KAROON CAPITAL MANAGEMENT | INVESTMENT ASSET MANAGEMENT | HUNT ASSET MANAGEMENT | HORIZON WEALTH SOLUTIONS | HAMPTON CAPITAL MANAGEMENT | GROTJAHN CAPITAL MANAGEMENT | FORTRESS WEALTH MANAGEMENT | FIRST MONTAUK SECURITIES CORP. | EVYAVAN ADVISORY SERVICES | CENTURY DISCOUNT INVESTMENTS | CAPITAL ESTATE ADVISORS | C & B FINANCIAL SVCS. | BUSINESS AND FINANCIAL SERVICES | BURTON CAPITAL STRATEGIES GROUP | BURNS ASSET MANAGEMENT | BONIELLO CAPITAL MANAGEMENT | BERRY ASSET MANAGEMENT | BELLI MONACO | BAUGHMAN FINANCIAL GROUP | BARRETT HAYNES FINANCIAL GROUP | BARREIRO AND ASSOCIATES | B & G CAPITAL MANAGEMENT | ASSET MANAGEMENT CONSULTANT | AMERICAN CAPITAL MANAGEMENT

CRD#: 13755 / SEC#: , 8-29748

BD
Terminated by SEC on 02/21/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 03/11/1983
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FIRST MONTAUK FINANCIAL CORP.CORPORATE PARENT AND SOLE STOCKHOLDER
HOROWITZ, MINDY ANNCHIEF FINANCIAL OFFICER/FINOP3036744
KURYLAK, VICTOR KEVINPRESIDENT, CHIEF EXECUTIVE OFFICER1664534
LEONARD, CELESTE MARIECHIEF COMPLIANCE OFFICER1258535

Disclosures

Regulatory Event25
Arbitration28
Bond5

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

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

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