Harold F. Wachtel

WACHTEL CAPITAL ADVISORS

TOWACO, NJ 07082

CRD#: 4569632

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Professional summary

Harold Frank Wachtel, who also goes by Harold Frank Wachtel Jr, is a registered financial advisor currently at WACHTEL CAPITAL ADVISORS, LLC located in Towaco, New Jersey.

Harold is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Harold has worked at 13 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Harold Frank Wachtel Jr

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) - RIA

Click below to view Harold Frank Wachtel's 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 8, 2020 - Present

WACHTEL CAPITAL ADVISORS, LLC

Office #1: 8 Whitehall Rd, Suite 200b, Towaco, NJ 07082

RIA

CRD#: 311280

TOWACO, NJ

Past

May 1, 2018 - May 3, 2021

AURORA PRIVATE WEALTH, INC.

RIA

CRD#: 281604

Pine Brook, NJ

Past

March 13, 2018 - July 1, 2024

APW CAPITAL, INC.

CRD#: 43814

Pine Brook, NJ

Past

May 26, 2015 - March 1, 2018

FORTUNE FINANCIAL SERVICES, INC.

CRD#: 42150

Pine Brook, NJ

Past

June 26, 2012 - September 4, 2013

MIDAMERICA FINANCIAL SERVICES, INC.

CRD#: 47351

PINE BROOK, NJ

Past

May 14, 2009 - October 31, 2019

WACHTEL CAPITAL ADVISORS, LLC

RIA

CRD#: 149985

PINE BROOK, NJ

Past

January 5, 2009 - September 24, 2010

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

MONTVILLE, NJ

Past

April 24, 2008 - July 9, 2008

OSAIC SERVICES, INC.

RIA

CRD#: 133763

LIVINGSTON, NJ

Past

April 24, 2008 - August 5, 2009

HORIZON POINT WEALTH MANAGEMENT, LLC

RIA

CRD#: 146712

LIVINGSTON, NJ

Past

April 24, 2008 - January 6, 2009

OSAIC SERVICES, INC.

CRD#: 133763

LIVINGSTON, NJ

Past

March 28, 2005 - April 29, 2008

M HOLDINGS SECURITIES, INC.

RIA

CRD#: 43285

EAST HANOVER, NJ

Past

March 8, 2005 - April 29, 2008

M HOLDINGS SECURITIES, INC.

CRD#: 43285

EAST HANOVER, NJ

Past

December 19, 2003 - February 24, 2005

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

NEW YORK, NY

Past

December 19, 2003 - February 24, 2005

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

March 20, 2003 - December 15, 2003

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

August 27, 2002 - October 29, 2002

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New Jersey
(12/8/2020)

IAR

Pennsylvania
(8/6/2024)

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

IAR

Series 66

Date: 9/5/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/26/2002

General Securities Representative Examination

Current Firm

WACHTEL CAPITAL ADVISORS, LLC

CRD#: 311280 / SEC#:

New Jersey

Registered Investment Advisory firm - (12/8/2020 Approved)

Pennsylvania

Registered Investment Advisory firm - (8/2/2024 Approved)

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Contact information

Main Address

8 Whitehall Rd, Suite 200b, Towaco, NJ 07082

Mailing Address

Phone number

(973) 794-3600

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	208
AUM (Assets Under Management)	$ 44,903,591

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.

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Advisor Monitoring

Firm Stability Insights

Harold F. Wachtel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harold Frank Wachtel's CRS (Customer Relationship Summary).

Certified licenses

Experience

AURORA PRIVATE WEALTH, INC.

APW CAPITAL, INC.

FORTUNE FINANCIAL SERVICES, INC.

MIDAMERICA FINANCIAL SERVICES, INC.

WACHTEL CAPITAL ADVISORS, LLC

PURSHE KAPLAN STERLING INVESTMENTS

OSAIC SERVICES, INC.

HORIZON POINT WEALTH MANAGEMENT, LLC

OSAIC SERVICES, INC.

M HOLDINGS SECURITIES, INC.

M HOLDINGS SECURITIES, INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

PARK AVENUE SECURITIES LLC

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/5/2002

SIE

Date: 10/1/2018

Series 7

Date: 8/26/2002

Current Firm

WACHTEL CAPITAL ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WACHTEL CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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