Harry R. Shertzer

WESTHAMPTON CAPITAL

Winston-salem, NC 27104

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CRD#: 1251803

Professional summary

Harry Reynolds Shertzer JR is a registered financial advisor currently at WESTHAMPTON CAPITAL located in Winston-salem, North Carolina.

Harry is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Harry has worked at 13 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 27 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harry Reynolds Shertzer JR'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

March 1, 2011 - Present

WESTHAMPTON CAPITAL

Office #1: 2150 Country Club Rd Suite 250, Winston-salem, NC 27104

RIA

CRD#: 119176

Winston-salem, NC

Past

June 30, 2009 - January 12, 2010

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

WINSTON SALEM, NC

Past

June 12, 2009 - January 12, 2010

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

WINSTON-SALEM, NC

Past

September 5, 2006 - October 1, 2008

IRONSTONE SECURITIES, INC.

RIA

CRD#: 130335

KERNERSVILLE, NC

Past

September 5, 2006 - October 1, 2008

IRONSTONE SECURITIES, INC.

CRD#: 130335

KERNERSVILLE, NC

Past

July 11, 2005 - August 11, 2005

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

DURHAM, NC

Past

July 11, 2005 - August 11, 2005

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

Past

March 20, 2002 - January 4, 2005

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

WINSTON-SALEM, NC

Past

January 4, 2002 - January 4, 2005

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

SAN DIEGO, CA

Past

September 3, 1996 - April 25, 2001

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

May 13, 1996 - May 16, 1996

PEGASUS CAPITAL INVESTMENTS LC

CRD#: 40078

GREENSBORO, NC

Past

November 25, 1992 - February 21, 1996

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

CRD#: 5178

FORT WAYNE, IN

Past

May 20, 1992 - November 27, 1992

DETWILER FENTON WEALTH MANAGEMENT INC

CRD#: 16063

BOSTON, MA

Past

October 31, 1991 - May 19, 1992

SCOTT & STRINGFELLOW, INC.

CRD#: 3309

RICHMOND, VA

Past

June 9, 1986 - March 1, 1991

PLANNED MANAGEMENT COMPANY

CRD#: 14733

CHARLOTTE, NC

Past

April 18, 1984 - June 10, 1986

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WESTHAMPTON CAPITAL

WESTHAMPTON CAPITAL | WESTHAMPTON CAPITAL, LLC | WESTHAMPTON CAPITAL, INC.

CRD#: 119176 / SEC#: 801-80073

RIA

Registered Investment Advisory firm - (7/16/2014 Approved)

Indiana

Registered Investment Advisory firm - (7/17/2014 Terminated)

North Carolina

Registered Investment Advisory firm - (7/17/2014 Terminated)

Virginia

Registered Investment Advisory firm - (7/17/2014 Terminated)

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).

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.

Highlighted states indicate IAR registrations

IAR

North Carolina
(3/1/2011)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/4/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/16/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/14/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/1/1994

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 6/14/1989

Financial and Operations Principal Examination

Current Firm

WESTHAMPTON CAPITAL

WESTHAMPTON CAPITAL | WESTHAMPTON CAPITAL, LLC | WESTHAMPTON CAPITAL, INC.

CRD#: 119176 / SEC#: 801-80073

RIA

Registered Investment Advisory firm - (7/16/2014 Approved)

Indiana

Registered Investment Advisory firm - (7/17/2014 Terminated)

North Carolina

Registered Investment Advisory firm - (7/17/2014 Terminated)

Virginia

Registered Investment Advisory firm - (7/17/2014 Terminated)

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Contact information

Main Address

2150 Country Club Rd Suite 250, Winston-salem, NC 27104

Mailing Address

Phone number

(336) 725-5579

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WESTHAMPTON CAPITAL_BROCHURE_AUA 2024 (1/7/2025)

Regulatory assets under management

Total Number of Accounts	246
AUM (Assets Under Management)	$ 222,553,363

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.

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Firm Stability Insights

Harry R. Shertzer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harry Reynolds Shertzer JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

IRONSTONE SECURITIES, INC.

IRONSTONE SECURITIES, INC.

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

UVEST FINANCIAL SERVICES GROUP, INC.

PEGASUS CAPITAL INVESTMENTS LC

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

DETWILER FENTON WEALTH MANAGEMENT INC

SCOTT & STRINGFELLOW, INC.

PLANNED MANAGEMENT COMPANY

FIRST UNION CAPITAL MARKETS CORP.

Primary Firm SEC Registration

WESTHAMPTON CAPITAL

State Registrations and Notice Filings

Exams

Series 65

Date: 2/4/1992

Series 63

Date: 4/16/1984

Series 7

Date: 4/14/1984

Series 24

Date: 12/1/1994

Series 27

Date: 6/14/1989

Current Firm

WESTHAMPTON CAPITAL

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WESTHAMPTON CAPITAL

TRUST BUT VERIFY

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