Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Harold? Claim Your ProfileHarold Elish is an investment advisor representative with over 40 years of experience in the financial services industry. Harold is registered with UBS Financial Services Inc. and has been with the firm since November 2013. Prior to joining UBS, Harold was employed at CITIGROUP GLOBAL MARKETS INC. and LEHMAN BROTHERS INC. Harold holds the Series 7, Series 63, and Series 65 licenses. Harold specializes in providing financial planning, portfolio management, and pension consulting services to individuals, businesses, and institutions.
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.
See schedule d - miscellaneous
1
2
NY
09/22/2006 - Present
UBS Financial Services Inc. (New York NY)
NY
07/31/1993 - 05/18/2006
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
10/22/1982 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 03/29/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/29/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/18/1982
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
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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