Harold JonesCRD Number: 4438291
Current Firm: Pks Advisory Services, LLC
Harold Jones (CRD# 4438291) is an Investment Advisor Representative working at Pks Advisory Services, LLC in Pompano Beach, FL and has over 15 years of experience in the finance industry.
Northstar Financial Planners, Inc.
Fin-est Investment Advisors, LLC
|Pks Advisory Services, LLC||Albany, NY||Sep 2012 - Current||4|
|Purshe Kaplan Sterling Investments||Albany, NY||Sep 2012 - Current||4|
|H. Edward Jones, Cpa-pa||Ft Lauderdale, FL||Jan 1983 - Current||33|
|Cambridge Investment Research Inc.||Fairfield, MI||Feb 2002 - Aug 2012||10|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Nov 2001|
|S65||NASAA Investment Advisors Law Examination||Jul 2007|
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:
- Regulatory Event
Total Assets Under Management402MILLIONS
Total Number of Accounts2,443ACCOUNTS
Average Account Value$164,465
- A percentage of assets under your management
- 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)
AR, AZ, CA, CO, CT, FL, GA, HI, IA, IL, IN, KS, KY, LA, MA, MD, ME, MI, MO, MS, NC, NH, NJ, NV, NY, OH, OK, OR, PA, SC, TN, TX, UT, VA, VT, WA, WI, WV
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