Harender AroraCRD Number: 1269664
Current Firm: Securities America Advisors, Inc.
Harender Arora (CRD# 1269664) is an Investment Advisor Representative working at Securities America Advisors, Inc. in Williamsville, NY and has over 33 years of experience in the finance industry.
Level Financial Advisors, Inc.
Park Avenue Securities LLC
Linwood Investment Advisors Inc.
|Harender S. Arora - Insurance||Williamsville, NY||Aug 2007 - Current||10|
|Securities America Advisors, Inc.||Williamsville, NY||Jan 2004 - Current||14|
|Securities America, Inc.||Williamsville, NY||Apr 1993 - Current||24|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jun 1984|
|S65||NASAA Investment Advisors Law Examination||Nov 1994|
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:
- Employer Dispute
- Customer Dispute
Total Assets Under Management15,610MILLIONS
Total Number of Accounts105,891ACCOUNTS
Average Account Value$147,418
- 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)
- Publication of periodicals or newsletters
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY