Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Harold? Claim Your ProfileHarold Lesage is an investment advisor representative at UBS Financial Services Inc. based in THE WOODLANDS, TX. Harold has over 49 years of experience in the industry and has been with UBS Financial Services Inc. since September 1985. Harold is registered with the state of Texas and is a licensed investment advisor. Harold is a Series 63, Series 65 and Series 7 licensed investment advisor. Harold also holds Series 4, Series 9, Series 10, Series 12, Series 24 and Series 5 licenses.
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
TX
01/01/1991 - Present
UBS Financial Services Inc. (THE WOODLANDS TX)
NA
09/23/1985 - 01/01/1991
ROTAN MOSLE INC.
NA
03/29/1974 - 10/21/1985
RAUSCHER PIERCE REFSNES, INC.
NA
07/24/1975 - 08/06/1976
INA SECURITY CORP
NA
01/16/1973 - 03/29/1974
FIRST OF TEXAS, INCORPORATED
IA
Issued 05/13/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/08/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/15/1982
Series 24 - General Securities Principal Examination
BC
Issued 07/18/1981
Series 12 - NYSE Branch Manager Examination
BC
Issued 02/13/1981
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/05/1981
Series 5 - Interest Rate Options Examination
BC
Issued 02/15/1978
PC - AMEX Put and Call Exam
BC
Issued 01/12/1973
Series 1 - Registered Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Harold Lesage is the right advisor for you? Invested Better is here to help.
