Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Harolyn? Claim Your ProfileHarolyn Smith is a financial advisor at Raymond James Financial Services Advisors, Inc. Harolyn has been in the industry since 1989, with a focus on financial planning, portfolio management, and pension consulting. Harolyn Smith has specialized expertise in working with high net worth individuals, corporations, and pension and profit sharing plans. Harolyn is registered in Texas, Louisiana, and is a member of FINRA. Harolyn has also held previous positions at Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, CUNA Brokerage Services, Inc., Members Investment Services, Inc., and T.L. Smith Securities.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
TX
01/02/2009 - Present
Raymond James Financial Services Advisors, Inc. (ROWLETT TX)
TX
04/02/2007 - 06/23/2008
MORGAN STANLEY & CO. INCORPORATED (DALLAS TX)
TX
02/12/1997 - 04/02/2007
MORGAN STANLEY DW INC. (DALLAS TX)
NY
09/23/1996 - 11/05/1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
01/03/1994 - 09/27/1995
CUNA BROKERAGE SERVICES, INC. (WAVERLY IA)
TX
04/20/1992 - 12/31/1993
MEMBERS INVESTMENT SERVICES, INC. (FARMERS BRANCH TX)
NA
06/14/1991 - 04/23/1992
T.L. SMITH SECURITIES
NA
02/23/1990 - 04/04/1990
ADAMS SECURITIES, INC.
NY
05/07/1986 - 09/09/1989
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
03/20/1986 - 05/21/1986
SHEARSON LEHMAN BROTHERS INC.
BC
Issued 02/17/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/18/1986
Series 3 - National Commodity Futures Examination
BC
Issued 03/15/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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