Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Harold? Claim Your ProfileHarold W. Phillips is a financial professional with over seven years of experience in the financial services industry. Harold's expertise lies in providing investment advice and portfolio management services to individuals. Currently, Harold is associated with PFS Investments Inc. where Harold focuses on helping individuals achieve their financial goals. Harold's experience extends to several other firms, including Equitable Advisors, LLC, Avantax Investment Services, Inc., W&S Brokerage Services, Inc., Scottrade, Inc., HD Vest Investment Services, J.P. Morgan Securities LLC and NYLIFE Securities LLC. Harold holds several licenses and certifications including Series 6, 7, 24, 26, 63, and 66.
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.
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.
A percentage of the total value of assets under management is charged.
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2
CA
03/19/2024 - Present
PFS Investments Inc. (WILDOMAR CA)
CA
06/24/2021 - 01/10/2022
EQUITABLE ADVISORS, LLC (IRVINE CA)
CA
05/12/2021 - 07/07/2021
AVANTAX INVESTMENT SERVICES, INC. (Temecula CA)
CA
02/08/2018 - 01/28/2020
W&S BROKERAGE SERVICES, INC. (RIVERSIDE CA)
CA
04/26/2017 - 01/16/2018
SCOTTRADE, INC. (INDIAN WELLS CA)
CA
06/28/2016 - 05/05/2017
HD VEST INVESTMENT SERVICES (Riverside CA)
CA
05/13/2016 - 06/23/2016
J.P. MORGAN SECURITIES LLC (TEMECULA CA)
CA
09/18/2013 - 05/17/2016
NYLIFE SECURITIES LLC (San Dimas CA)
TX
01/15/2013 - 08/14/2013
MML INVESTORS SERVICES, LLC (ADDISON TX)
BC
Issued 04/19/2024
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 09/06/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/29/2021
Series 24 - General Securities Principal Examination
BC
Issued 03/09/2018
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/23/2016
Series 7 - General Securities Representative Examination
BC
Issued 01/14/2013
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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