Harold BroadwaterCRD 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.
Centaurus Financial, Inc.
Allegheny Investments, Ltd.
Northwestern Mutual Investment Services,llc
|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|
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 Management115MILLIONS
Total Number of Accounts667ACCOUNTS
Average Account Value$171,691
- A percentage of assets under your management
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
DC, FL, HI, KY, MD, NJ, NY, OH, PA, SC, TX, VA, WV