Harold L. Lustig

Some features on this profile are disabled

CRD#: 816080

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 Lyon Lustig was a registered financial professional .

Harold is a previously registered financial professional and started their career in finance in 1982. Harold had worked at 10 firms and has passed the Series 65, Series 63, Series 7 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

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 11, 2016 - June 18, 2018

BLUE DUCK WEALTH MANAGEMENT

RIA

CRD#: 281832

San Rafael, CA

Past

February 26, 2015 - June 11, 2015

SOUND INCOME STRATEGIES, LLC

RIA

CRD#: 173272

SAN RAFAEL, CA

Past

March 26, 2014 - February 17, 2015

COPPELL ADVISORY SOLUTIONS LLC

RIA

CRD#: 156549

SAN RAFAEL, CA

Past

July 26, 2010 - December 31, 2016

LUSTIG FINANCIAL SERVICES LLC

RIA

CRD#: 154175

SAN RAFAEL, CA

Past

November 22, 2006 - July 1, 2010

WORKMAN SECURITIES CORPORATION

RIA

CRD#: 31898

SAN RAFAEL, CA

Past

June 9, 2006 - July 1, 2010

WORKMAN SECURITIES CORPORATION

CRD#: 31898

SAN RAFAEL, CA

Past

April 26, 2006 - October 2, 2006

WORKMAN SECURITIES CORPORATION

RIA

CRD#: 31898

SAN RAFAEL, CA

Past

August 22, 2002 - May 2, 2006

PENSION PLANNERS SECURITIES, INC.

CRD#: 14068

SACRAMENTO, CA

Past

August 16, 2002 - May 2, 2006

PENSION PLANNERS SECURITIES, INC.

RIA

CRD#: 14068

SACRAMENTO, CA

Past

August 13, 1998 - August 26, 2002

CETERA ADVISORS LLC

RIA

CRD#: 10299

DENVER, CO

Past

February 4, 1998 - August 26, 2002

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

September 12, 1992 - February 20, 1998

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

September 12, 1992 - February 20, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

August 27, 1982 - October 6, 1992

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

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

IAR

Series 65

Date: 8/3/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/9/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/19/1983

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 12/8/1975

Registered Representative Examination

Current Firm

BLUE DUCK WEALTH MANAGEMENT

CRD#: 281832 / SEC#: 801-107148

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1145 Hembree Rd., Roswell, GA 30076

Mailing Address

Phone number

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2A-THE OPTIMIZED RIA, INC. (3/22/2019)

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Harold L. Lustig

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SOUND INCOME STRATEGIES, LLC

COPPELL ADVISORY SOLUTIONS LLC

LUSTIG FINANCIAL SERVICES LLC

WORKMAN SECURITIES CORPORATION

WORKMAN SECURITIES CORPORATION

WORKMAN SECURITIES CORPORATION

PENSION PLANNERS SECURITIES, INC.

PENSION PLANNERS SECURITIES, INC.

CETERA ADVISORS LLC

CETERA ADVISORS LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

NATHAN & LEWIS SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/3/1998

Series 63

Date: 4/9/1986

Series 7

Date: 3/19/1983

Series 1

Date: 12/8/1975

Current Firm

BLUE DUCK WEALTH MANAGEMENT

Contact information

Documents

Part 2 Brochures

Red Flags

Company Information

BLUE DUCK WEALTH MANAGEMENT

TRUST BUT VERIFY

Similar Advisors