Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Harry? Claim Your ProfileHarry August Smith is an Investment Advisor Representative at RBC Capital Markets, LLC. Harry has been in the industry since May 1985 and has been registered in Washington state since January 2016. Harry previously held roles at Merrill Lynch, Pierce, Fenner & Smith Incorporated, U.S. Bancorp Securities, Oppenheimer & Co., Inc., and Wedbush, Noble, Cooke, Inc. Harry holds Series 63, 65, 7, 8, 24, 31, and SIE licenses. Harry specializes in providing financial planning, portfolio management, and other investment-related services to a variety of clients, including individuals, businesses, and institutional clients.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
WA
01/04/2016 - Present
RBC Capital Markets, LLC (KIRKLAND WA)
WA
06/13/1997 - 01/06/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BELLEVUE WA)
OR
04/29/1991 - 06/30/1997
U.S. BANCORP SECURITIES (PORTLAND OR)
NY
10/02/1989 - 04/03/1990
OPPENHEIMER & CO., INC. (NEW YORK NY)
NY
11/18/1985 - 10/11/1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
08/15/1984 - 11/26/1985
WEDBUSH, NOBLE, COOKE, INC
NA
04/18/1984 - 08/09/1984
BROKERS CLEARING CORP.
IA
Issued 05/04/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/22/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/20/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 02/19/1992
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/10/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 04/14/1984
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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