Harold T. Broadwater

Some features on this profile are disabled

CRD#: 1144554

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.

Harold Thomas Broadwater, who also goes by H Thomas Broadwater, Tom Broadwater, was a registered financial professional .

Harold is a previously registered financial professional and started their career in finance in 1983. Harold had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

H Thomas Broadwater | Tom Broadwater

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 14, 2011 - December 13, 2016

UNITED BROKERAGE SERVICES, INC

RIA

CRD#: 39062

UNIONTOWN, PA

Past

August 22, 2011 - December 13, 2016

UNITED BROKERAGE SERVICES, INC

CRD#: 39062

UNIONTOWN, PA

Past

January 31, 2008 - August 19, 2011

LPL FINANCIAL LLC

RIA

CRD#: 6413

UNIONTOWN, PA

Past

January 31, 2008 - August 19, 2011

LPL FINANCIAL LLC

CRD#: 6413

UNIONTOWN, PA

Past

October 10, 2007 - January 31, 2008

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

UNIONTOWN, PA

Past

October 10, 2007 - January 31, 2008

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

UNIONTOWN, PA

Past

July 29, 2003 - August 17, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

UNIONTOWN, PA

Past

July 15, 1993 - December 31, 1994

AMERICAN EXPRESS SERVICE CORPORATION

CRD#: 10518

MINNEAPOLIS, MN

Past

August 15, 1983 - December 24, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

August 15, 1983 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 15, 1983 - August 17, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

UNIONTOWN, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

UNITED BROKERAGE SERVICES, INC

UNITED BROKERAGE SERVICES INC | UNITED INSURANCE & BROKERAGE SERVICES | UNITED BROKERAGE SERVICES, INC

CRD#: 39062 / SEC#: 801-80804, 8-48685

RIA

Registered Investment Advisory firm - SEC (1/9/2015 Approved)

District of Columbia

Registered Investment Advisory firm - SEC (1/20/2015 Terminated)

Kentucky

Registered Investment Advisory firm - SEC (1/20/2015 Terminated)

Maryland

Registered Investment Advisory firm - SEC (2/26/2015 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (1/30/2015 Terminated)

Ohio

Registered Investment Advisory firm - SEC (1/20/2015 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (1/22/2015 Terminated)

Texas

Registered Investment Advisory firm - SEC (1/20/2015 Terminated)

Virginia

Registered Investment Advisory firm - SEC (1/21/2015 Terminated)

West Virginia

Registered Investment Advisory firm - SEC (1/20/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/22/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/13/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/19/1986

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 9/23/1983

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 8/12/1983

Investment Company Products/Variable Contracts Representative Examination

Current Firm

UNITED BROKERAGE SERVICES, INC

UNITED BROKERAGE SERVICES INC | UNITED INSURANCE & BROKERAGE SERVICES | UNITED BROKERAGE SERVICES, INC

CRD#: 39062 / SEC#: 801-80804, 8-48685

RIA

Registered Investment Advisory firm - SEC (1/9/2015 Approved)

District of Columbia

Registered Investment Advisory firm - SEC (1/20/2015 Terminated)

Kentucky

Registered Investment Advisory firm - SEC (1/20/2015 Terminated)

Maryland

Registered Investment Advisory firm - SEC (2/26/2015 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (1/30/2015 Terminated)

Ohio

Registered Investment Advisory firm - SEC (1/20/2015 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (1/22/2015 Terminated)

Texas

Registered Investment Advisory firm - SEC (1/20/2015 Terminated)

Virginia

Registered Investment Advisory firm - SEC (1/21/2015 Terminated)

West Virginia

Registered Investment Advisory firm - SEC (1/20/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

514 Market Street, Parkersburg, WV 26101

Mailing Address

P. O. Box 1508, Parkersburg, WV 26102-1508

Phone number

(888) 424-6158

Established

West Virginia since 04/24/1995

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

101

SEC notice filing (17 States and Territories)

FINRA licenses (46 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

2025 ADV BROCHURE ANNUAL AMENDMENT (3/31/2025)

2025 CLIENT DIRECTED WRAP BROCHURE ADV AMENDMENT (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
UNITED ASSET MANAGEMENT CORP.	OWNER
ADAMS, RICHARD MATTHEW JR	CHAIRMAN OF THE BOARD/DIRECTOR	2656091
BOARD, ANGIE MARIE	FINOP	6464533
EARL, MICHEAL LEN	CHIEF COMPLIANCE OFFICER	4266715
GURTIS, JULIE RITCHIE	DIRECTOR
HUMPHREY, MATTHEW LEE	CHIEF EXECUTIVE OFFICER/DIRECTOR	5943475
MOCK, DONALD FREDERICK	DIRECTOR	5059205
MUDLAFF, THOMAS JAMES	CHIEF OPERATIONS OFFICER	2359466
REYNOLDS, FRANK KEVIN	DIRECTOR	5731814
SHAVER, AMI LEE	DIRECTOR	2771684

Regulatory assets under management

Total Number of Accounts	1,889
AUM (Assets Under Management)	$ 389,130,559

Disclosures

Bond

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Harold T. Broadwater

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UNITED BROKERAGE SERVICES, INC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERICAN EXPRESS SERVICE CORPORATION

AMERICAN EXPRESS FINANCIAL CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

UNITED BROKERAGE SERVICES, INC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/22/1983

SIE

Date: 12/13/2016

Series 7

Date: 7/19/1986

Series 22

Date: 9/23/1983

Series 6

Date: 8/12/1983

Current Firm

UNITED BROKERAGE SERVICES, INC

Contact information

SEC notice filing (17 States and Territories)

FINRA licenses (46 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

UNITED BROKERAGE SERVICES, INC

TRUST BUT VERIFY

Similar Advisors