Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Harold? Claim Your ProfileHarold David Travis is a registered representative with Northwestern Mutual Investment Services, LLC. Harold has been in the financial services industry since 1976. Harold is currently licensed to conduct business in Florida, Hawaii, Kentucky, Maryland, Missouri, North Carolina and Washington. Harold is also registered with FINRA. Harold has a Series 63, Series 22TO, Series 6TO, SIE and Series 1. Harold has previously been registered with Robert W. Baird & Co. Incorporated and PEBSCO Securities Corp.
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.
Investment research; referrals to other advisers
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.
Referral fees
1
2
KY
12/01/1976 - Present
Northwestern Mutual Investment Services, LLC (MURRAY KY)
WI
07/13/1988 - 10/01/1990
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
NA
01/03/1977 - 09/25/1977
PEBSCO SECURITIES CORP.
BC
Issued 10/12/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative 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 11/18/1976
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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