Robert A. Harclerode
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Anthony Harclerode was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1982. Robert had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 24, Series 26 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2021 - December 31, 2023
MASTERWORKS FISCAL ADVISORS LLC
November 17, 2011 - December 31, 2020
MASTERWORKS FISCAL ADVISORS LLC
December 7, 2009 - October 27, 2014
STONEBRIDGE CAPITAL MANAGEMENT VI, L.L.C.
December 4, 2007 - October 27, 2014
STONEBRIDGE CAPITAL MANAGEMENT IX, L.L.C.
September 27, 2007 - November 5, 2012
STONEBRIDGE CAPITAL MANAGEMENT VIII, LLC
August 19, 2003 - December 11, 2007
STONEBRIDGE CAPITAL MANAGEMENT VII, LLC
August 19, 2003 - March 30, 2012
STONEBRIDGE CAPITAL MANAGEMENT, IV
August 19, 2003 - October 27, 2014
STONEBRIDGE CAPITAL MANAGEMENT III LLC
August 19, 2003 - October 27, 2014
STONEBRIDGE CAPITAL MANAGEMENT II LLC
August 19, 2003 - October 27, 2014
STONEBRIDGE CAPITAL MANAGEMENT
January 5, 1998 - December 31, 2012
CADARET, GRANT & CO., INC.
February 16, 1995 - June 4, 1997
GUARDIAN INVESTOR SERVICES LLC
January 11, 1995 - November 1, 2017
CADARET, GRANT & CO., INC.
October 25, 1990 - January 5, 1995
GUARDIAN INVESTOR SERVICES LLC
January 2, 1988 - October 24, 1988
MML INVESTORS SERVICES, LLC
August 9, 1984 - March 17, 1987
MML INVESTORS SERVICES, LLC
March 10, 1984 - October 26, 1990
W.D.R. EQUITY RESOURCES, INC.
November 16, 1983 - January 2, 1988
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
March 10, 1982 - December 16, 1982
LINCOLN FINANCIAL DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MASTERWORKS FISCAL ADVISORS LLC
CRD#: 159328 / SEC#: 801-72838
Contact information
Regulatory assets under management
| Total Number of Accounts | 50 |
| AUM (Assets Under Management) | $ 16,819,743 |
Red Flags
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