Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christopher? Claim Your ProfileChristopher James Harwick is a financial advisor registered with Stifel, Nicolaus & Company, Inc. He is based in Stamford, Connecticut and has over 25 years of experience in the financial services industry. Christopher has a strong background in equities trading, having held positions at BEAR, STEARNS & CO. INC. and DEAN WITTER REYNOLDS INC. Christopher holds the Series 7, Series 55, Series 57TO and SIE licenses. He is also registered to conduct business in California, Connecticut, Florida, Illinois, New Jersey and New York. Christopher has a comprehensive understanding of the financial markets and can provide a wide range of investment services to clients.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CT
06/04/2008 - Present
Stifel, Nicolaus & Company, Inc. (STAMFORD CT)
NY
03/11/1999 - 06/12/2008
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
01/20/1997 - 03/24/1999
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BC
Issued 02/13/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/15/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 01/17/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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