Harold O. Lowe

MONVIA FINANCIAL L.P.

Walnut Creek, CA 94596

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CRD#: 4657766

Professional summary

Harold Oscar Lowe III, who also goes by Harold O Lowe III, Harold O Lowe, Harold Oscar Lowe, is a registered financial advisor currently at MONVIA FINANCIAL L.P. located in Walnut Creek, California.

Harold is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Harold has worked at 8 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Harold O Lowe Iii | Harold O Lowe | Harold Oscar Lowe

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.

Harold Lowe The business address is Mr. Lowe's home address. Category: Consulting Investment Related: NO Title: Consultant Duties: Provide consulting advice to political candidates and non-profit organizations Start Date: 01/2013 Hours per month: 0-40 Hours per month during trading hours: 0 Lowe Consulting Group 675 Hegenberger Road, Oakland, CA 94621 Investment Related: No Title: Marketing Support Duties: Community outreach, informing citizens of construction activities in newsletter, contacting local businesses for workshops. Start Date: 10/2020 Hours per month: 25 Hours per month during trading hours: 0 Licensed Insurance Agent - Since 2011 under the DBA of Rising Oak Financial and Insurance Services The business address is Mr. Lowe's home address. Appointed at various insurance companies Investment Related: No Start Date: 6/2003 Hours per month: 5 Hours per month during trading hours: 0

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harold Oscar Lowe III'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

April 8, 2019 - Present

MONVIA FINANCIAL L.P.

Office #1: 1990 North California Boulevard 8th Floor, Walnut Creek, CA 94596

RIA

CRD#: 165932

Walnut Creek, CA

Past

August 9, 2018 - January 8, 2021

WHITEHALL-PARKER SECURITIES, INC.

RIA

CRD#: 10608

WALNUT CREEK, CA

Past

August 9, 2018 - January 8, 2021

WHITEHALL-PARKER SECURITIES, INC.

CRD#: 10608

WALNUT CREEK, CA

Past

August 28, 2015 - February 15, 2018

OSAIC FS, INC.

CRD#: 3870

OAKLAND, CA

Past

August 27, 2015 - February 15, 2018

OSAIC FS, INC.

RIA

CRD#: 3870

OAKLAND, CA

Past

June 9, 2014 - March 23, 2015

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

EMERYVILLE, CA

Past

June 9, 2014 - March 23, 2015

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

EMERYVILLE, CA

Past

July 29, 2010 - May 30, 2014

SIGNATOR FINANCIAL SERVICES, INC.

RIA

CRD#: 19061

OAKLAND, CA

Past

March 23, 2010 - May 30, 2014

SIGNATOR FINANCIAL SERVICES, INC.

CRD#: 19061

OAKLAND, CA

Past

January 14, 2008 - January 19, 2010

BLAYLOCK VAN, LLC

CRD#: 145317

OAKLAND, CA

Past

September 3, 2003 - October 25, 2007

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

WALNUT CREEK, CA

Past

August 26, 2003 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

WALNUT CREEK, CA

Past

August 26, 2003 - October 25, 2007

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

WALNUT CREEK, CA

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

California
(4/8/2019)

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: 7/28/2010

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/29/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/25/2003

General Securities Representative Examination

Current Firm

MONVIA FINANCIAL L.P.

FRONTIER WEALTH STRATEGIES INC. | MONVIA FINANCIAL L.P. | MONVIA FINANCIAL | FRONTIER WEALTH STRATEGIES, INC. | FRONTIER WEALTH STRATEGIES L.P.

CRD#: 165932 / SEC#:

California

Registered Investment Advisory firm - (5/17/2013 Approved)

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Contact information

Main Address

1990 North California Boulevard 8th Floor, Walnut Creek, CA 94596

Mailing Address

Phone number

(925) 255-0004

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	448
AUM (Assets Under Management)	$ 81,548,117

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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Firm Stability Insights

Harold O. Lowe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harold Oscar Lowe III's CRS (Customer Relationship Summary).

Certified licenses

Experience

WHITEHALL-PARKER SECURITIES, INC.

WHITEHALL-PARKER SECURITIES, INC.

OSAIC FS, INC.

OSAIC FS, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

SIGNATOR FINANCIAL SERVICES, INC.

SIGNATOR FINANCIAL SERVICES, INC.

BLAYLOCK VAN, LLC

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/28/2010

Series 7TO

Date: 3/29/2024

SIE

Date: 10/1/2018

Series 7

Date: 8/25/2003

Current Firm

MONVIA FINANCIAL L.P.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MONVIA FINANCIAL L.P.

TRUST BUT VERIFY

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