Charles William Harris
Professional Summary
Charles William Harris is a registered financial advisor currently at FIRST GEORGETOWN SECURITIES, INC. located in Alexandria, Virginia. Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Charles has worked at 2 firms and has passed the Series 65, Series 63, Series 82TO, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
45 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
FIRST GEORGETOWN SECURITIES, INC | FIRST GEORGETOWN SECURITIES, INC.
Contact Information
Main Address
1700 Diagonal Rd. Suite 200, Alexandria, VA 22314Mailing Address
1700 Diagonal Rd. # 200, Alexandria, VA 22314Phone Number
(703) 519-7700Established
Delaware since 05/01/1975Firm Type
CorporationFiscal Year End
JulyFirm Size
Small# of Employees
4SEC notice filing (1 States and Territories)
Registered to provide investment advisory services in 1 US states and territories.
FINRA licenses (20 States and Territories)
Registered to provide investment advisory services in 1 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
123AUM (Assets Under Management)
$115,737,800Disclosures
Regulatory Event
16Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
FIRST GEORGETOWN SECURITIES, INC | FIRST GEORGETOWN SECURITIES, INC.
State Registrations and Notice Filings
(6/27/2001)
(1/24/1985)
(2/25/1985)
(9/16/1994)
(12/10/2008)
(10/6/1995)
(1/25/1985)
(6/27/2019)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 82TO — Limited Representative-Private Securities Offerings
Passed May 2023About the Series 82TO examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Charles William Harris's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Charles William Harris's CRS (Customer Relationship Summary).
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