Harvey Gerald Stein

Current Employers

Employment History

• 08/2011 → 05/2019
  Lpl Financial, Llc
  Boca Raton, FL
• 08/2011 → Present
  Independent Financial Partners
  Boca Raton, FL
• 05/2019 → Present
  Ifp Securities, Llc
  Boca Raton, FL

Previous Registrations

• 1998-06-09 → 2011-08-09
  Asset & Financial Planning, Ltd
  Boca Raton, FL

Other Businesses

1. 8/21/2013: CAPITAL CONCLUSIONS CORPORATION - NON-VARIABLE INSURANCE DBA - CAPITAL CONCLUSIONS CORPORATION - INV REL - At Reported Business Location(s) - FIXED INSURANCE. - TIME SPENT 25% 2. 02/17/2015: Independent Financial Partners - Registered Investment Advisor DBA - Capital Conclusions Corporation - INV REL - At Reported Business Location(s) - Start 10/01/1998 - 120 Hr/Mo; 120 Hours During Securities Trading 3. 07/08/2016: Serve and Protect Financial, Inc. - DBA - INV REL - At Reported Business Location(s) - Registered Rep and IAR; Start 06/03/2016 - IAR - 40 Hr/Mo; 40 Hours During Securities Trading 4. Harvey Stein; Trustee; Investment related; 19341 Lost Oak Lane, FL; Trustee of the Melvin Siegel Credit Shelter Trust UAD; Start 2/24/2020; 1 hr/mo. 5. JEAN SIEGEL UAD 12/16/91 HARVEY STEIN TTEE - Not Investment Related- 19341 LOST OAKS LN BOCA RATON FL 33498-4840 - This is a Revocable Life insurance Trust, It is only used to pay life insurance premiums. No investments are made within this account. - Trustee - Dec. 16, 1991 - 1Hr/month / 0 hrs during trading 6. IRWIN J OPPER TRUST AGREEMENT UAD 08/30/11 HARVEY STEIN TTEE- Not Investment Related- 19341 LOST OAKS LN BOCA RATON FL 33498-4840 - Trust - Trustee - Aug. 30, 2014 - 1hr/month / 1 hr/month during trading

Exams

• S63 Uniform Securities Agent State Law Examination
  1995-01-26

Designations