Harold D. Tolbert
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 Dean Tolbert JR was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 2001. Harold had worked at 6 firms and has passed the SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2010 - July 13, 2017
HAZARD & SIEGEL, INC.
February 5, 2008 - December 31, 2009
WORLD CAPITAL BROKERAGE, INC.
September 5, 2007 - January 31, 2008
J.W. COLE FINANCIAL, INC.
March 31, 2005 - August 22, 2007
GWN SECURITIES INC.
May 19, 2003 - March 2, 2005
HORNOR, TOWNSEND & KENT, LLC
July 6, 2001 - November 8, 2002
CINCINNATI ANALYSTS, 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
HAZARD & SIEGEL, INC.
CRD#: 2048 / SEC#: , 8-13942
Contact information
FINRA licenses (43 States and Territories)
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.
