Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rocky? Claim Your ProfileRocky Delane Harwood is a registered representative with Wells Fargo Clearing Services, LLC. Rocky has been in the industry since June 24, 1975. Rocky has experience in the following areas: portfolio management for individuals and businesses, financial planning, pension consulting, and selection of other advisers. Prior to joining Wells Fargo Clearing Services, LLC, Rocky worked for Prudential Securities Incorporated, Bache Halsey Stuart Inc., Bache & Co Incorporated and Bache & Co., Incorporated. Rocky is currently registered in Alabama, Alaska, Arizona, California, Florida, Georgia, Louisiana, Maryland, Michigan, Minnesota, Missouri, New Jersey, New York, North Carolina, Ohio, Oregon, South Carolina, and Virginia.
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.
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.
Investment consulting services to institutional clients
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
NC
07/01/2003 - Present
Wells Fargo Clearing Services, LLC (GREENSBORO NC)
NY
09/16/1977 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
08/27/1976 - 09/16/1977
BACHE HALSEY STUART INC.
NA
02/27/1976 - 08/27/1976
BACHE & CO INCORPORATED
NA
06/25/1975 - 02/27/1976
BACHE & CO., INCORPORATED
IA
Issued 12/08/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/23/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/18/1985
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/21/1975
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Rocky Harwood is the right advisor for you? Invested Better is here to help.
