Harold W. Smith
Professional summary
Harold William Smith is a registered financial professional currently at WORLD INVESTMENTS, LLC located in Kinnelon, New Jersey.
Harold is registered as a RR (Registered Representative) and started their career in finance in 1994. Harold has worked at 3 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Harold William Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 3, 1998 - Present
WORLD INVESTMENTS, LLC
Office #1: 170 Kinnelon Road, Suite 23a, Kinnelon, NJ 07405July 11, 1996 - August 12, 1998
C. J. M. PLANNING CORP.
November 15, 1994 - June 28, 1996
AVANTAX INVESTMENT SERVICES, 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
(6/23/2015)
(2/2/2017)
(1/26/2021)
(9/2/2025)
(7/13/2007)
(8/3/1998)
(11/5/2002)
(2/10/2015)
(7/13/2007)
(11/5/2013)
(7/13/2007)
(2/9/2015)
Exams
FINRA
Current Firm
WORLD INVESTMENTS, LLC
CRD#: 20626 / SEC#: 801-56426, 8-38377
Contact information
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,697 |
| AUM (Assets Under Management) | $ 1,734,780,346 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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