Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Harold? Claim Your ProfileHarold Clark Austin is a financial advisor who has been in the industry since 1978. Harold is currently registered with LPL Financial LLC and is licensed to provide investment advice in Louisiana and Texas. Harold has previously worked with several other firms, including Royal Alliance Associates, Inc., United Securities Alliance, Inc., Walnut Street Securities, Inc., Fortis Investors, Inc., Guardian Investor Services Corporation, Mimlic Sales Corporation, New England Securities Corporation, H.D. Vest Investment Securities, Inc., Mercer Diversified Securities, Inc., FDI Securities, Inc., and CG Equity Sales Company. Harold holds Series 65, Series 6TO, Series 1, and SIE licenses and has a wide range of experience providing financial planning, portfolio management, and other consulting services to individuals, businesses, and retirement plans.
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.
Consulting and other non-discretionary advisory services
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
TX
02/28/2019 - Present
LPL Financial LLC (WALLER TX)
TX
03/01/2007 - 02/26/2019
ROYAL ALLIANCE ASSOCIATES, INC. (SPRING TX)
TX
04/01/2003 - 03/01/2007
UNITED SECURITIES ALLIANCE, INC. (HOUSTON TX)
CA
02/22/2001 - 04/14/2003
WALNUT STREET SECURITIES, INC. (EL SEGUNDO CA)
MN
03/24/1999 - 09/29/2000
FORTIS INVESTORS, INC. (OAKDALE MN)
NY
05/07/1998 - 03/22/1999
GUARDIAN INVESTOR SERVICES CORPORATION (NEW YORK NY)
MN
10/02/1995 - 05/15/1998
FORTIS INVESTORS, INC. (OAKDALE MN)
MN
02/08/1990 - 10/27/1995
MIMLIC SALES CORPORATION (ST. PAUL MN)
NY
01/11/1989 - 12/12/1989
NEW ENGLAND SECURITIES CORPORATION (NEW YORK NY)
NA
06/18/1987 - 01/24/1989
H.D. VEST INVESTMENT SECURITIES, INC.
NA
01/06/1983 - 03/02/1987
MERCER DIVERSIFIED SECURITIES, INC.
NA
10/06/1980 - 11/22/1982
FDI SECURITIES, INC.
NA
03/03/1977 - 12/14/1980
CG EQUITY SALES COMPANY
IA
Issued 03/04/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/25/1977
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
Not sure Harold Austin is the right advisor for you? Invested Better is here to help.
