Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Harold? Claim Your ProfileHarold Stice is a securities professional with over 30 years of experience in the financial services industry. Harold has a broad range of experience in the industry, including roles with firms such as Chapin, Davis, Insigneo Securities, LLC, PM Securities, LLC DBA Phoenix Capital Resources, Northeast Securities, LLC, The Jeffrey Matthews Financial Group, L.L.C., PTR, INC., Tripp & Co., INC., Wilmington Capital Securities, LLC, Joseph Gunnar & Co. LLC, AEGIS CAPITAL CORP., Orion Financial Services, LLC, USACAPITAL INC., First Liberty Investment Group, INC., Donald & Co. Securities INC., First Colonial Securities Group, INC., and United Pacific Financial Services, INC. Harold currently holds a Series 7, Series 24, Series 27, Series 4, Series 52TO, Series 53, Series 55, Series 57TO, Series 99TO, Series 63, and Series 14 license and is currently registered in Florida and California. Harold is currently employed by Boreal Capital Securities LLC and Dawson James Securities, Inc.
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.
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.
1
2
FL
04/19/2024 - Present
Boreal Capital Securities LLC (MIAMI FL)
MD
06/04/2023 - 12/14/2023
CHAPIN, DAVIS (BALTIMORE MD)
FL
01/09/2019 - 06/12/2023
INSIGNEO SECURITIES, LLC (MIAMI FL)
PA
07/14/2017 - 02/07/2019
PM SECURITIES, LLC DBA PHOENIX CAPITAL RESOURCES (CHADDS FORD PA)
NY
07/14/2017 - 12/31/2018
NORTHEAST SECURITIES, LLC (MITCHEL FIELD NY)
NJ
07/10/2006 - 09/29/2016
THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C. (FLORHAM PARK NJ)
NJ
04/07/2016 - 05/09/2016
PTR, INC. (COLLINGSWOOD NJ)
NJ
02/01/2008 - 11/24/2008
TRIPP & CO., INC. (MILLBURN NJ)
NJ
06/03/2005 - 07/10/2008
WILMINGTON CAPITAL SECURITIES, LLC (MILLBURN NJ)
NY
10/21/2002 - 07/20/2004
JOSEPH GUNNAR & CO. LLC (UNIONDALE NY)
NY
11/21/2001 - 10/11/2002
AEGIS CAPITAL CORP. (NEW YORK NY)
PA
05/10/2001 - 08/27/2001
ORION FINANCIAL SERVICES, LLC (PHILADELPHIA PA)
PA
12/08/1999 - 12/20/2000
USACAPITAL INC. (PHILADELPHIA PA)
PA
07/13/1998 - 12/03/1999
FIRST LIBERTY INVESTMENT GROUP, INC. (PHILADELPHIA PA)
NJ
11/22/1993 - 06/29/1998
DONALD & CO. SECURITIES INC. (TINTON FALLS NJ)
FL
03/20/1992 - 10/29/1993
FIRST COLONIAL SECURITIES GROUP, INC. (BOCA RATON FL)
NA
12/17/1990 - 03/04/1992
UNITED PACIFIC FINANCIAL SERVICES, INC.
BC
Issued 02/22/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 11/27/1991
Series 4 - Registered Options Principal Examination
BC
Issued 05/17/1991
Series 53 - Municipal Securities Principal Examination
BC
Issued 04/08/1991
Series 24 - General Securities Principal Examination
BC
Issued 02/14/1991
Series 27 - Financial and Operations Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/02/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/13/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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