Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Hal? Claim Your ProfileHal Horace Smith is a financial advisor registered with Oppenheimer & Co. Inc., a firm with a presence across many US states. Hal has been in the financial services industry since 1983 and has significant experience in investment advisory services, both for individuals and businesses. Hal holds the Series 7, Series 63, Series 65, Series 99TO and SIE licenses. Hal’s areas of specialization include investment advisory services, financial planning, and portfolio management.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
MI
01/01/1999 - Present
Oppenheimer & Co. Inc. (GROSSE POINTE FARMS MI)
MI
03/23/1990 - 01/01/1999
FIRST OF MICHIGAN CORPORATION (DETROIT MI)
NA
12/21/1983 - 03/23/1990
SMITH, HAGUE & CO., INCORPORATED
IA
Issued 12/30/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/28/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/17/1983
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
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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