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Harold Stein

Senior Portfolio Manager at Pinnacle Associates

Investment adviser registrationSEC record checked 17 October 2026

22
Years in the industry
22
Years at the firm
1
Adviser firms
3
State registrations

IAPD record retrieved 17 October 2026SEC record

Harold Stein is Senior Portfolio Manager of Pinnacle Associates, LTD., a New York investment adviser managing $10.4B. Harold Stein has been registered through Pinnacle Associates since 4 May 2004, has 22 years in the industry across 1 firm and has passed the Series 65, Series 7 and Series 63.

Role at Pinnacle Associates

Title on Schedule A
Senior Portfolio Manager
Control
Harold Stein is not a control person of Pinnacle Associates.
Ownership
An individual ownership band is not available in the source record.
Tenure
Harold Stein has held the filed role since February 2003.

The firm

Pinnacle Associates, LTD.
New York, NY

Form ADV filed 26 March 2026

$10.4B AUM2,325 clients33 advisers9 offices

Career on record

Harold Stein has been registered through Pinnacle Associates since May 2004.

Firms and exams, newest first
  1. Passed Series 63 · 2004
  2. Pinnacle Associates, Ltd.Current
    – present · 22 years
    , · Adviser representative · Firm CRD 110631
  3. Passed Series 7 · 1997
  4. Passed Series 65 · 1995

Registrations and exams

Harold Stein has a current investment-adviser registration in Connecticut, Louisiana and New Jersey and has passed 3 qualifying exams.

Connecticut4 May 2004
Scope
Investment adviser representative
Status
Approved
Louisiana4 February 2014
Scope
Investment adviser representative
Status
Approved
New Jersey9 September 2004
Scope
Investment adviser representative
Status
Approved

Examinations

Series 632 June 2004
Name
Uniform Securities Agent State Law Examination
Series 656 March 1995
Name
Uniform Investment Adviser Law Examination
Series 722 April 1997
Name
General Securities Representative Examination

Individual record

Full name
Harold Ward Stein
CRD
2478110
Firm
Pinnacle Associates, LTD.
Registration status
Investment adviser registration
Firm bio
pinnacle-associates.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Pinnacle Associates’ current team page lists Harold Stein as Wealth Advisor. Pinnacle Associates team page

Common questions

Where does Harold Stein work?

Harold Stein has been Senior Portfolio Manager of Pinnacle Associates, LTD. since February 2003.

Source: Form ADV, Schedule A, filed 26 March 2026

Is Harold Stein a financial advisor?

Yes. Harold Stein has a current investment-adviser registration in Connecticut, Louisiana and New Jersey, through Pinnacle Associates since May 2004, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

How many years of experience does Harold Stein have?

Harold Stein has worked in the financial industry for 22 years as of 17 October 2026, counted from 3 May 2004, across 1 adviser firm.

Source: IAPD individual record, checked 17 October 2026

What exams has Harold Stein passed?

Harold Stein has passed 3 licensing exams: the Series 65, Series 7 and Series 63. The earliest, the Series 65, was passed in March 1995.

Source: IAPD individual record, checked 17 October 2026

Leadership at Pinnacle Associates

Sources

  1. IAPD individual record, CRD 2478110. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Pinnacle Associates, LTD., filed 26 March 2026. Title, control and ownership bands.
  3. Pinnacle Associates team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Harold Stein or Pinnacle Associates, LTD. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.