Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Larry? Claim Your ProfileLarry Paul Harteck is a financial advisor with Stifel, Nicolaus & Company, Inc. Larry has been in the industry since May 20, 1987. Larry has a variety of experience working with different financial firms including Morgan Stanley Smith Barney, Citigroup Global Markets Inc. and Lehman Brothers Inc. Larry is registered in 16 states and holds the Series 3, 7, 63, and 65 licenses as well as the SIE exam.
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
CA
09/24/2012 - Present
Stifel, Nicolaus & Company, Inc. (SANTA BARBARA CA)
CA
06/01/2009 - 10/05/2012
MORGAN STANLEY SMITH BARNEY (SANTA BARBARA CA)
CA
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SANTA BARBARA CA)
NY
04/11/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
05/21/1987 - 04/11/1988
E. F. HUTTON & COMPANY INC
IA
Issued 08/10/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/28/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/01/1987
Series 3 - National Commodity Futures Examination
BC
Issued 05/16/1987
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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