Business Description

Harborview Investments is a full service investment advisory firm serving clients in the areas of portfolio management, retirement and educational funding.

General Information

Gender:

Male

CRD#:

3162995

Name of Broker/Dealer:

Cantella & Co., Inc.

Name of Custodial Firm:

Pershing

States Licensed in:

AZ, CA, CO, CT, FL, IL, LA, ME, MA, MI, MN, NE, NH, NJ, NY, NC, OH,
RI, SC, VA

States Willing to do Business in:

all

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Businesses, Individual Investors, Non-Profit Organizations

Services

Investment Types:

Bonds, Stocks, Annuities, Insurance, Options & Futures, Exchange Traded Funds (ETFs)

Qualifications & Memberships

Securities Licenses:

Series 7, Series 24, Series 63, Series 65

Insurance and Annuity Licenses:

Health, Annuity, Long Term Care, Disability, HMO, Variable Life, Variable Annuity, Life

Firm Information

Number of Advisors in Office:

10 - 99 employees

I work with clients as part of a team:

Yes

Firm's Number of Clients:

500

Firm's Number of Planning Clients:

100

Firm's Number of Managed Clients:

100

Assets Managed by Firm:

$350,000,000

Compliance

Registered Representative:

Yes

Investment Advisor Representative:

Yes

I am an acknowledged fiduciary:

Yes

Compliance Disclosures in Last 5 years:

I have a clean record

Criminal Disclosures in Last 5 years:

I have a clean record

Compensation & Fees

Fee Structure:

I am a fee-based financial professional

Minimum Portfolio Size for New Managed Accounts:

$100,000

Compensation Methods:

Based on Assets, Commissions

Prepared By:

Daryl Stong