MH
Michael G. Harwood
UWHARRIE INVESTMENT ADVISORS
LOCUST, NC 28097
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CRD#: 4711386
MH
Professional summary
Michael Glenn Harwood, who also goes by Mike Harwood, is a registered financial advisor currently at UWHARRIE INVESTMENT ADVISORS, INC. located in Locust, North Carolina and PRIVATE CLIENT SERVICES, LLC located in Locust, North Carolina.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Michael has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mike Harwood
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.
1) STANLY COUNTY AIRPORT AUTHORITY, 43222 LOWDER AVIATION PARKWAY, NEW LONDON, NC 28127 BOARD OF DIRECTORS SINCE 2003. NOT INVESTMENT RELATED. ATTEND BOARD MEETINGS. 5 HOURS PER MONTH, NONE DURING MARKET HOURS. 2) CHS Stanly Advisory Council, 301 Yadkin St, Albemarle, PA 28001. Vice-chairman of volunteer hospital advisory council. 2 hrs/month during trading time. Non-investment related. 3) UWHARRIE INVESTMENT ADVISORS, SECURITIES RELATED, PO Box 715, 416 West Main Street, Locust, NC 28097. MANAGE INVESTMENT ACCOUNTS, RELATIONSHIP MGR. START DATE 1/1/2004, 30 HOURS PER MONTH ALL OF WHICH DURING MARKET HOURS. 4) Uwharrie Bank, 416 West Main Street, Locust, NC 28097. SVP of commercial and consumer bank. 130 hrs/month during trading hours. 4) LICENSED WITH VARIOUS INSURANCE CARRIERS FOR THE SALE OF NON SECURITIES INSURANCE PRODUCTS 5) Charlotte Hornets, official scorer, Time Warner Arena, non-investment related. Hours per month vary. 6) For Stanly, Inc. PO Box 715 Locust, NC 28097 Chairman of non-profit economic development organization. 1 hr/month during trading hrs. Non-investment related. 7) The Cason Group. Charlotte, North Carolina. Financial Services division for life insurance, health and long-term care insurance. Will be doing some insurance business through The Cason Group on life, long-term care and possibly health for small business. 1 hour/mo; 1 during trading hours. 8) Aircraft Ownership. 25% owner. N797T Aviation LLC. 108 Water Oak Lane, Stanfield, NC 28163.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Glenn Harwood'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®
NoneExperience
Current
January 5, 2004 - Present
UWHARRIE INVESTMENT ADVISORS, INC.
Office #1: 416 West Main Street, Locust, NC 28097RIA
CRD#: 117592
LOCUST, NC
Current
November 21, 2011 - Present
PRIVATE CLIENT SERVICES, LLC
Office #1: 416 W. Main St., Locust, NC 28097RIA
BD
CRD#: 120222
Locust, NC
Past
April 4, 2005 - November 21, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
ALBEMARLE, NC
Past
October 28, 2003 - April 26, 2005
THE STRATEGIC ALLIANCE CORPORATION
BD
CRD#: 32788
ALBEMARLE, NC
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UI
UWHARRIE INVESTMENT ADVISORS, INC.
STRATEGIC INVESTMENT ADVISORS, INC. | UWHARRIE INVESTMENT ADVISORS, INC. | UWHARRE INVESTMENT ADVISORS, INC.
CRD#: 117592 / SEC#: 801-63767
RIA
Registered Investment Advisory firm - (1/3/2005 Approved)North Carolina
Registered Investment Advisory firm - (2/2/2005 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(7/8/2021)
IAR
North Carolina(1/5/2004)
RR
North Carolina(11/21/2011)
RR
South Carolina(1/2/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
UI
UWHARRIE INVESTMENT ADVISORS, INC.
STRATEGIC INVESTMENT ADVISORS, INC. | UWHARRIE INVESTMENT ADVISORS, INC. | UWHARRE INVESTMENT ADVISORS, INC.
CRD#: 117592 / SEC#: 801-63767
RIA
Registered Investment Advisory firm - (1/3/2005 Approved)North Carolina
Registered Investment Advisory firm - (2/2/2005 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
132 North First Street, Albemarle, NC 28001
Mailing Address
P.o. Box 1517, Albemarle, NC 28002
Phone number
(704) 983-5959
Established
Firm type
Fiscal year end
# of Employees
16
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 811 |
| AUM (Assets Under Management) | $ 278,247,352 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
UWHARRIE INVESTMENT ADVISORS, INC.
CRD#: 117592Locust, NC 28097TRUST BUT VERIFY
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