Charles W. Harris

FIRST GEORGETOWN SECURITIES

ALEXANDRIA, VA 22314

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CRD#: 1005730

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

I am part of a new YouTube TV pilot titled "Becoming Van Vlack." I produced the pilot and am starring in it. This is not investment related and I have received no compensation for my contributions. The pilot was started in late 2022. The address of the LLC of the production company is 1200 Braddock Place, Unit 401, Alexandria, Virginia 22314. I devote approximately 20 hours per month to this endeavor. None of my time spent on the pilot occurs during regular business hours.

Blog Corner

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).

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®

None

Experience

Current

June 27, 2019 - Present

FIRST GEORGETOWN SECURITIES, INC.

Office #1: 1700 Diagonal Road # 200, Alexandria, VA 22314Office #2: 1700 Diagonal Rd. Suite 200, Alexandria, VA 22314

RIA

CRD#: 5871

ALEXANDRIA, VA

Current

February 16, 1982 - Present

FIRST GEORGETOWN SECURITIES, INC.

Office #1: 1700 Diagonal Road # 200, Alexandria, VA 22314Office #2: 1700 Diagonal Rd. # 200, Alexandria, VA 22314

RIA

CRD#: 5871

ALEXANDRIA, VA

Past

October 6, 1981 - March 9, 1982

FIRST JERSEY SECURITIES, INC.

CRD#: 6621

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.

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

California
(6/27/2001)

District of Columbia
(1/24/1985)

Maryland
(2/25/1985)

Massachusetts
(9/16/1994)

New York
(12/10/2008)

Oklahoma
(10/6/1995)

Virginia
(1/25/1985)

IAR

Virginia
(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

State Security Law Exam

IAR

Series 65

Date: 6/18/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/5/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 82TO

Date: 5/3/2023

Limited Representative-Private Securities Offerings

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/22/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 12/1/1994

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/21/1982

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FIRST GEORGETOWN SECURITIES, INC.

FIRST GEORGETOWN SECURITIES, INC | FIRST GEORGETOWN SECURITIES, INC.

CRD#: 5871 / SEC#: 801-68760, 8-18390

RIA

Registered Investment Advisory firm - SEC (6/27/2012 Terminated)

Virginia

Registered Investment Advisory firm - SEC (6/27/2012 Approved)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1700 Diagonal Rd. Suite 200, Alexandria, VA 22314

Mailing Address

1700 Diagonal Rd. # 200, Alexandria, VA 22314

Phone number

(703) 519-7700

Established

Delaware since 05/01/1975

Firm type

Corporation

Fiscal year end

July

Firm Size

Small

# of Employees

FINRA licenses (20 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
MANN, ROBERT TAYLOR	PRESIDENT	822903
HARRIS, CHARLES WILLIAM	CHIEF COMPLIANCE OFFICER	1005730

Regulatory assets under management

Total Number of Accounts	125
AUM (Assets Under Management)	$ 101,602,194

Disclosures

Regulatory Event	16
Arbitration	2

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Charles W. Harris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

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).

Certified licenses

Experience

FIRST GEORGETOWN SECURITIES, INC.

FIRST JERSEY SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/18/2019

Series 63

Date: 10/5/1981

Series 82TO

Date: 5/3/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/22/1981

Series 27

Date: 12/1/1994

Series 24

Date: 12/21/1982

FINRA

Current Firm

FIRST GEORGETOWN SECURITIES, INC.

Contact information

FINRA licenses (20 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

FIRST GEORGETOWN SECURITIES, INC.

TRUST BUT VERIFY

Contact information

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