JH
John S. Horsley
THOMPSON SIEGEL & WALMSLEY LLC
Richmond, VA 23230
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CRD#: 1479367
JH
Professional summary
John Shelton Horsley IV is a registered financial advisor currently at THOMPSON SIEGEL & WALMSLEY LLC located in Richmond, Virginia.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. John has worked at 3 firms and has passed the Series 65 and Series 6 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.
Pendal USA Inc; Richmond, VA; Investment related; Corporate owner of two U.S.-based registered investment advisers (Parent Company); Senior Client Portfolio Manager; Lead the firm's client service effort, help manage the overall business and a member of the executive committee; Start Date: 01/03/2022; 10 hours per month with 1-5 during trading hours; Lead the firm's client service effort, help manage the overall business and a member of the executive committee.
CRS (Client Relationship Summary) - RIA
Click below to view John Shelton Horsley IV's 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®
NoneExperience
Current
November 7, 1994 - Present
THOMPSON SIEGEL & WALMSLEY LLC
Office #1: 6641 West Broad Street Suite 600, Richmond, VA 23230RIA
CRD#: 105726
Richmond, VA
Past
April 22, 1986 - October 7, 1987
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
Past
April 22, 1986 - April 24, 1989
AETNA FINANCIAL SERVICES, INC.
BD
CRD#: 13255
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".
TS
THOMPSON SIEGEL & WALMSLEY LLC
THOMPSON SIEGEL & WALMSLEY INC | WPS CAPITAL MANAGEMENT, LLC (RELYING ADVISER) SEE SCHEDULE D - MISC. FOR FURTHER INFORMATION | WPS CAPITAL FUND, LLC (RELYING ADVISER) SEE SCHEDULE D - MISC. FOR FURTHER INFORMATION | THOMPSON, SIEGEL & WALMSLEY | THOMPSON SIEGEL & WALMSLEY LLC
CRD#: 105726 / SEC#: 801-6273
RIA
Registered Investment Advisory firm - (1/17/1970 Approved)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
Virginia(11/7/1994)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
TS
THOMPSON SIEGEL & WALMSLEY LLC
THOMPSON SIEGEL & WALMSLEY INC | WPS CAPITAL MANAGEMENT, LLC (RELYING ADVISER) SEE SCHEDULE D - MISC. FOR FURTHER INFORMATION | WPS CAPITAL FUND, LLC (RELYING ADVISER) SEE SCHEDULE D - MISC. FOR FURTHER INFORMATION | THOMPSON, SIEGEL & WALMSLEY | THOMPSON SIEGEL & WALMSLEY LLC
CRD#: 105726 / SEC#: 801-6273
RIA
Registered Investment Advisory firm - (1/17/1970 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6641 West Broad Street Suite 600, Richmond, VA 23230
Mailing Address
Phone number
(804) 353-4500
Established
Firm type
Fiscal year end
# of Employees
68
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,775 |
| AUM (Assets Under Management) | $ 20,812,400,000 |
Red Flags
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Company Information
THOMPSON SIEGEL & WALMSLEY LLC
CRD#: 105726Richmond, VA 23230TRUST BUT VERIFY
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Contact information
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