Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Harold? Claim Your ProfileHarold Uszerowicz is a financial advisor at Stifel, Nicolaus & Company, Inc. with over 30 years of experience in the industry. Harold has been registered with FINRA since 1992 and holds Series 7, 63, and 65 licenses, as well as the SIE exam. Harold provides a variety of financial services to individual and institutional clients, including financial planning, portfolio management, and pension consulting. Harold's professional experience spans multiple firms including Wells Fargo Advisors LLC, Wells Fargo Clearing Services, LLC, and Ryan Beck & Co.
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.
1
2
NJ
09/09/2019 - Present
Stifel, Nicolaus & Company, Inc. (SUCCASUNNA NJ)
NJ
01/13/2012 - 09/11/2019
WELLS FARGO CLEARING SERVICES, LLC (FLORHAM PARK NJ)
NJ
04/24/2007 - 01/17/2012
STIFEL, NICOLAUS & COMPANY, INCORPORATED (SUCCASUNNA NJ)
NJ
04/29/2002 - 04/24/2007
RYAN BECK & CO. (SUCCASUNNA NJ)
NY
07/09/2001 - 05/13/2002
GRUNTAL & CO., L.L.C. (NEW YORK NY)
NJ
03/10/1992 - 07/10/2001
J. B. HANAUER & CO. (PARSIPPANY NJ)
IA
Issued 05/01/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/04/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/26/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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