Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Harmony? Claim Your ProfileHarmony Star Bozes sherlock is a financial advisor at Stifel, Nicolaus & Company, Inc.. Harmony has been in the industry for over 13 years and is registered in 38 states. Harmony holds Series 7, 9, 10 and 66 licenses and is a registered investment advisor in California and Texas. Harmony specializes in providing financial planning, pension consulting, educational seminars, and portfolio management services to individuals, businesses, and pooled investment vehicles.
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
CA
02/20/2020 - Present
Stifel, Nicolaus & Company, Inc. (PALM DESERT CA)
BOTH
Issued 02/23/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/12/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/28/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/22/2017
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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