Herbert L. Ormond

H. L. ORMOND & COMPANY

Greenville, NC 27858

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CRD#: 1526791

Professional summary

Herbert Lyman Ormond III, who also goes by Herb Ormond III, is a registered financial advisor currently at H. L. ORMOND & COMPANY, LLC located in Greenville, North Carolina.

Herbert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Herbert has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 10, Series 9 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Herb Ormond Iii

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.

1). TAES2, LLC; Investment related; 1001 Conference Drive, Greenville, NC 27858; Real Estate Rental Property; Managing Member / Owner; Start Date: 1/1/2015; 1 Hour per month, 0 Hours per month during trading hours; Owner of office building. Rent space to self and tenant. 2). Independent Licensed Insurance Agent; Investment Related; Greenville, NC.; Insurance; Licensed Insurance Agent; Start Date: 1986; Less than 2 hours per year, less than 2 hours per year during trading hours; Used to renew/move clients' fixed annuities. 3). POA / Trustee; Investment Related; Greenville, NC.; POA/Trustee/Personal Representative for family members; Start Date: 5/23/2016; 4 Hour per month, 1 Hour per month during trading hours; POA and Health Care POA, Trustee, Executor.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Herbert Lyman Ormond III'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 28, 2021 - Present

H. L. ORMOND & COMPANY, LLC

Office #1: 1001 Conference Drive Suite A, Greenville, NC 27858

RIA

CRD#: 313593

Greenville, NC

Past

February 4, 2011 - June 22, 2021

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

GREENVILLE, NC

Past

January 28, 2011 - June 22, 2021

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

GREENVILLE, NC

Past

April 17, 2009 - February 4, 2011

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

GREENVILLE, NC

Past

April 17, 2009 - February 4, 2011

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

GREENVILLE, NC

Past

January 1, 2008 - April 21, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

GREENVILLE, NC

Past

January 1, 2008 - April 21, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

GREENVILLE, NC

Past

March 25, 2004 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

GREENVILLE, NC

Past

September 28, 1990 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

GREENVILLE, NC

Past

July 23, 1986 - October 11, 1990

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

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".

H. L. ORMOND & COMPANY, LLC

CRD#: 313593 / SEC#: 801-120841

RIA

Registered Investment Advisory firm - (4/16/2021 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

North Carolina
(6/28/2021)

IAR

Texas
(2/13/2022)

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 66

Date: 3/24/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/14/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 4/19/1994

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/19/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 8

Date: 11/6/1992

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

H. L. ORMOND & COMPANY, LLC

CRD#: 313593 / SEC#: 801-120841

RIA

Registered Investment Advisory firm - (4/16/2021 Approved)

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Contact information

Main Address

1001 Conference Drive Suite A, Greenville, NC 27858

Mailing Address

Phone number

(252) 756-4010

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HL ORMOND ADV PART 2A (3/10/2025)

Regulatory assets under management

Total Number of Accounts	1,167
AUM (Assets Under Management)	$ 359,744,989

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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Advisor Monitoring

Firm Stability Insights

Herbert L. Ormond

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Herbert Lyman Ormond III's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

FIRST UNION CAPITAL MARKETS CORP.

Primary Firm SEC Registration

H. L. ORMOND & COMPANY, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/24/2004

Series 63

Date: 8/14/1986

SIE

Date: 10/1/2018

Series 3

Date: 4/19/1994

Series 7

Date: 7/19/1986

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 8

Date: 11/6/1992

Current Firm

H. L. ORMOND & COMPANY, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

H. L. ORMOND & COMPANY, LLC

TRUST BUT VERIFY

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