Harold E. Stice

DAWSON JAMES SECURITIES

Boca Raton, FL 33432

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CRD#: 1349210

Professional summary

Harold Eugene Stice, who also goes by Gene Stice, Harold E Stice, is a registered financial professional currently at DAWSON JAMES SECURITIES, INC. located in Boca Raton, Florida and BOREAL CAPITAL SECURITIES LLC located in Miami, Florida.

Harold is registered as a RR (Registered Representative) and started their career in finance in 1990. Harold has worked at 18 firms and has passed the Series 63, Series 57TO, Series 52TO, Series 99TO, SIE, Series 55, Series 7, Series 14, Series 4, Series 53, Series 24 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Gene Stice | Harold E Stice

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) - BD

Click below to view Harold Eugene Stice's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

December 13, 2023 - Present

DAWSON JAMES SECURITIES, INC.

Office #1: 101 North Federal Highway Suite 600, Boca Raton, FL 33432

CRD#: 130645

Boca Raton, FL

Current

April 19, 2024 - Present

BOREAL CAPITAL SECURITIES LLC

Office #1: 1450 Brickell Avenue, Suite 2900, Miami, FL 33131Office #2: 1450 Brickell Avenue Suite 2900, Miami, FL 33131

CRD#: 158599

Miami, FL

Past

June 4, 2023 - December 14, 2023

CHAPIN, DAVIS

CRD#: 28116

BALTIMORE, MD

Past

January 9, 2019 - June 12, 2023

INSIGNEO SECURITIES, LLC

CRD#: 29249

MIAMI, FL

Past

July 14, 2017 - December 31, 2018

NORTHEAST SECURITIES, LLC

CRD#: 25996

MITCHEL FIELD, NY

Past

July 14, 2017 - February 7, 2019

PHOENIX IB

CRD#: 132710

CHADDS FORD, PA

Past

April 7, 2016 - May 9, 2016

PTR, INC.

CRD#: 31559

COLLINGSWOOD, NJ

Past

February 1, 2008 - November 24, 2008

TRIPP & CO., INC.

CRD#: 6967

MILLBURN, NJ

Past

July 10, 2006 - September 29, 2016

THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C.

CRD#: 41282

FLORHAM PARK, NJ

Past

June 3, 2005 - July 10, 2008

WILMINGTON CAPITAL SECURITIES, LLC

CRD#: 133839

MILLBURN, NJ

Past

October 21, 2002 - July 20, 2004

JOSEPH GUNNAR & CO. LLC

CRD#: 24795

UNIONDALE, NY

Past

November 21, 2001 - October 11, 2002

AEGIS CAPITAL CORP.

CRD#: 15007

NEW YORK, NY

Past

May 10, 2001 - August 27, 2001

ORION FINANCIAL SERVICES, LLC

CRD#: 44827

PHILADELPHIA, PA

Past

December 8, 1999 - December 20, 2000

USACAPITAL INC.

CRD#: 19674

PHILADELPHIA, PA

Past

July 13, 1998 - December 3, 1999

FIRST LIBERTY INVESTMENT GROUP, INC.

CRD#: 3536

PHILADELPHIA, PA

Past

November 22, 1993 - June 29, 1998

DONALD & CO. SECURITIES INC.

CRD#: 7776

TINTON FALLS, NJ

Past

March 20, 1992 - October 29, 1993

FIRST COLONIAL SECURITIES

CRD#: 25121

BOCA RATON, FL

Past

December 17, 1990 - March 4, 1992

UNITED PACIFIC FINANCIAL SERVICES, INC.

CRD#: 21632

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(12/14/2023)

Florida
(12/13/2023)

Exams

State Security Law Exam

Series 63

Date: 2/22/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 8/2/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 12/13/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 4

Date: 11/27/1991

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 5/17/1991

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/8/1991

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 2/14/1991

Financial and Operations Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

BOREAL CAPITAL SECURITIES LLC

BOREAL CAPITAL SECURITIES LLC | MORA WM SECURITIES, LLC | MORA WM SECURITIES

CRD#: 158599 / SEC#: , 8-68910

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

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Contact information

Main Address

1450 Brickell Avenue, Suite 2900, Miami, FL 33131

Mailing Address

1450 Brickell Avenue, Suite 2900, Miami, FL 33131

Phone number

(305) 459-5400

Established

Delaware since 06/17/2011

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (15 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
BOREAL CAPITAL HOLDINGS USA, LLC	OWNER / MEMBER
FRANCES, JOAQUIN NMN	CEO	4551274
GAETA, ROBERT BYRON	CHIEF COMPLIANCE OFFICER\AMLCO	1770315
STICE, HAROLD EUGENE	FINOP	1349210

Red Flags

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

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Firm Stability Insights

Harold E. Stice

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Harold Eugene Stice's CRS (Customer Relationship Summary).

Certified licenses

Experience

BOREAL CAPITAL SECURITIES LLC

CHAPIN, DAVIS

INSIGNEO SECURITIES, LLC

NORTHEAST SECURITIES, LLC

PHOENIX IB

PTR, INC.

TRIPP & CO., INC.

THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C.

WILMINGTON CAPITAL SECURITIES, LLC

JOSEPH GUNNAR & CO. LLC

AEGIS CAPITAL CORP.

ORION FINANCIAL SERVICES, LLC

USACAPITAL INC.

FIRST LIBERTY INVESTMENT GROUP, INC.

DONALD & CO. SECURITIES INC.

FIRST COLONIAL SECURITIES

UNITED PACIFIC FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/22/1991

Series 57TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 8/2/2000

Series 7

Date: 12/13/1990

Series 14

Date: 1/2/2023

Series 4

Date: 11/27/1991

Series 53

Date: 5/17/1991

Series 24

Date: 4/8/1991

Series 27

Date: 2/14/1991

FINRA

Nasdaq Stock Market

Current Firm

BOREAL CAPITAL SECURITIES LLC

Contact information

FINRA licenses (15 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

BOREAL CAPITAL SECURITIES LLC

TRUST BUT VERIFY

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