Harold Broadwater, financial advisor Uniontown PA
86 score

Harold Broadwater

CRD Number: 1144554
Current Firm: United Brokerage Services Inc.

Harold Broadwater (CRD# 1144554) is an Investment Advisor Representative working at United Brokerage Services Inc. in Uniontown, PA and has over 33 years of experience in the finance industry. Harold Broadwater has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
United Brokerage Services, Inc. Parkersburg, WV Aug 2011 - Current 5
Lpl Financial Uniontown, PA Jan 2008 - Aug 2011 3
Centra Bank Uniontown, PA Jan 2008 - Aug 2011 3
Uvest Financial Services Group, Inc. Charlotte, NC Oct 2007 - Jan 2008 < 1
Centra Bank Uniontown, PA Aug 2007 - Jan 2008 < 1
American Express Financial Advisors Inc. Pittsburgh, PA Jun 1983 - Aug 2007 24
Ids Life Ins Co Minneapolis, MN Jun 1983 - Aug 2007 24
Ids Life Insurance Company Minneapolis, MN Jun 1983 - Aug 2007 24
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 1983
Disclosure Information

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
Get Details on the FINRA Advisor Check site
Contact Info for Harold T. Broadwater
Phone Number: 888-424-6158
Registered State(s):
  • PA
By the Numbers
  • Total Assets Under Management
    115
    MILLIONS
  • Total Number of Accounts
    667
    ACCOUNTS
  • Average Account Value
    $171,691
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

DC, FL, HI, KY, MD, NJ, NY, OH, PA, SC, TX, VA, WV

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BADGES
86

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