Harold L. Whitlock
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 L Whitlock, who also goes by Harold Lee Whitlock, was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1977. Harold had worked at 19 firms and has passed the Series 65, Series 66, Series 63, Series 7, Series 1, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2008 - December 14, 2012
CHARLES SCHWAB & CO., INC.
July 11, 2008 - December 14, 2012
CHARLES SCHWAB & CO., INC.
June 11, 2007 - July 14, 2008
BROOKSTONE SECURITIES, INC.
March 29, 2004 - June 21, 2007
WALL STREET STRATEGIES, INC.
July 14, 2003 - July 28, 2003
AMSOUTH INVESTMENT SERVICES, INC.
July 10, 2003 - July 2, 2004
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
July 8, 2003 - July 10, 2003
AMSOUTH INVESTMENT SERVICES, INC.
July 8, 2003 - March 9, 2004
AMSOUTH INVESTMENT SERVICES, INC.
April 24, 2003 - July 23, 2003
WALL STREET STRATEGIES, INC.
July 16, 2002 - May 9, 2003
VERAVEST INVESTMENTS, INC.
January 20, 2000 - July 11, 2000
SECURITIES AMERICA, INC.
February 8, 1996 - January 13, 2000
TRUIST INVESTMENT SERVICES, INC.
May 18, 1995 - February 2, 1996
FIRST UNION BROKERAGE SERVICES, INC.
March 3, 1994 - May 26, 1995
BNY MELLON SECURITIES CORPORATION
July 21, 1993 - March 15, 1994
INDEPENDENT FINANCIAL SECURITIES, INC.
July 7, 1989 - July 21, 1993
DETWILER FENTON WEALTH MANAGEMENT INC
September 15, 1988 - June 13, 1989
NATIONAL SECURITIES CORPORATION
December 18, 1986 - May 3, 1988
MARSHALL DAVIS, INC.
March 20, 1986 - December 17, 1987
ALLIED CAPITAL GROUP, INC.
October 1, 1979 - January 12, 1982
SOUTHMARK FINANCIAL SERVICES, INC.
October 20, 1977 - September 14, 1978
AMERICAN EXPRESS FINANCIAL CORPORATION
October 20, 1977 - September 14, 1978
AMERIPRISE FINANCIAL SERVICES, LLC
October 20, 1977 - September 14, 1978
IDS LIFE INSURANCE COMPANY
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
Series 1
Date: 10/14/1977
Registered Representative ExaminationCurrent Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
