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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Harold? Claim Your ProfileHarold William Schwartz is a financial professional with over 50 years of experience in the industry. Harold currently works as a registered representative at Morgan Stanley, a firm with a strong reputation for providing financial services. Harold has a broad range of experience in the financial industry, including positions at CITIGROUP GLOBAL MARKETS INC. and KIDDER, PEABODY & CO. INCORPORATED. Harold has also held principal roles in the industry. Harold has passed a number of industry exams, including the Series 7, Series 24, and Series 31 exams. Harold is registered to sell securities in Massachusetts.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
MA
06/01/2009 - Present
Morgan Stanley (Boston MA)
MA
10/28/1994 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (BOSTON MA)
NY
05/19/1978 - 11/03/1994
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NA
06/24/1974 - 05/19/1978
KIDDER, PEABODY & CO., INCORPORATED
NA
07/23/1969 - 07/26/1974
CLARK, DODGE & CO., INCORPORATED
BC
Issued 08/01/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 08/12/1978
Series 40 - Registered 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 06/18/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 08/15/1977
PC - AMEX Put and Call Exam
BC
Issued 07/18/1969
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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