Harold WengerCRD Number: 1048191
Current Firm: Raymond James Financial Services Advisors, Inc.
Harold Wenger (CRD# 1048191) is an Investment Advisor Representative working at Raymond James Financial Services Advisors, Inc. in Lancaster, PA and has over 35 years of experience in the finance industry.
Thrivent Investment Management Inc.
Northwestern Mutual Investment Services,llc
Kaufman Advisory Services, Inc.
|Raymond James Financial Services Advisors Inc.||Lancaster, PA||Oct 2015 - Current||2|
|Raymond James Financial Services, Inc.||Lancaster, PA||Oct 2015 - Current||2|
|Wells Fargo Advisors LLC||Lancaster, PA||May 2009 - Oct 2015||6|
|Wachovia Securities, LLC||Lancaster, PA||Jun 2003 - May 2009||5|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||May 1982|
|S65||NASAA Investment Advisors Law Examination||Aug 2005|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management64,210MILLIONS
Total Number of Accounts224,839ACCOUNTS
Average Account Value$285,581
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops