Harold W. Stein
Professional summary
Harold Ward Stein is a registered financial advisor currently at PINNACLE ASSOCIATES, LTD. located in New York, New York.
Harold is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Harold has worked at 3 firms and has passed the Series 63, Series 65 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Harold Ward Stein's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 4, 2004 - Present
PINNACLE ASSOCIATES, LTD.
Office #1: 335 Madison Avenue 11th Floor, New York, NY 10017Office #2: 120 White Plains Road, Tarrytown, NY 10591August 27, 2003 - December 8, 2005
MATRIX CAPITAL GROUP, INC.
April 23, 1997 - February 25, 2003
ALLIANCEBERNSTEIN INVESTMENTS, INC.
Primary Firm SEC Registration
PINNACLE ASSOCIATES, LTD.
CRD#: 110631 / SEC#: 801-20841
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(5/4/2004)
(2/4/2014)
(9/9/2004)
Exams
Current Firm
PINNACLE ASSOCIATES, LTD.
CRD#: 110631 / SEC#: 801-20841
Contact information
SEC notice filing (35 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,429 |
| AUM (Assets Under Management) | $ 9,866,562,515 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 01/14/2025 | ||
| 01/11/2024 |
Red Flags
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