Herbert Lyman Ormond Iii
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Herb Ormond Iii
Similar Advisors
EQUITABLE ADVISORS, LLC
T. ROWE PRICE ADVISORY SERVICES, INC.
RBC CAPITAL MARKETS, LLC
MORGAN STANLEY
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
EQUITABLE ADVISORS, LLC
T. ROWE PRICE ADVISORY SERVICES, INC.
RBC CAPITAL MARKETS, LLC
MORGAN STANLEY
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
EQUITABLE ADVISORS, LLC
T. ROWE PRICE ADVISORY SERVICES, INC.
RBC CAPITAL MARKETS, LLC
MORGAN STANLEY
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.
Similar Advisors
EQUITABLE ADVISORS, LLC
T. ROWE PRICE ADVISORY SERVICES, INC.
RBC CAPITAL MARKETS, LLC
MORGAN STANLEY
Years of Experience
40 years in the financial services industry
Current & Past Employments
Current
Past
Similar Advisors
EQUITABLE ADVISORS, LLC
T. ROWE PRICE ADVISORY SERVICES, INC.
RBC CAPITAL MARKETS, LLC
MORGAN STANLEY
Current Firm
H. L. ORMOND & COMPANY, LLC | HOYT FAMILY WEALTH MANAGEMENT
Contact Information
Main Address
1001 Conference Drive Suite A, Greenville, NC 27858Phone Number
(252) 756-4010# of Employees
7SEC notice filing (8 States and Territories)
Registered to provide investment advisory services in 8 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,199AUM (Assets Under Management)
$401,376,690Similar Advisors
EQUITABLE ADVISORS, LLC
T. ROWE PRICE ADVISORY SERVICES, INC.
RBC CAPITAL MARKETS, LLC
MORGAN STANLEY
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.
Similar Advisors
EQUITABLE ADVISORS, LLC
T. ROWE PRICE ADVISORY SERVICES, INC.
RBC CAPITAL MARKETS, LLC
MORGAN STANLEY
Primary Firm SEC Registration
H. L. ORMOND & COMPANY, LLC | HOYT FAMILY WEALTH MANAGEMENT
State Registrations and Notice Filings
(6/28/2021)
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Nov 1992Similar Advisors
EQUITABLE ADVISORS, LLC
T. ROWE PRICE ADVISORY SERVICES, INC.
RBC CAPITAL MARKETS, LLC
MORGAN STANLEY
CRS (Client Relationship Summary) - RIA
Click below to view Herbert Lyman Ormond III's CRS (Customer Relationship Summary).
Similar Advisors
EQUITABLE ADVISORS, LLC
T. ROWE PRICE ADVISORY SERVICES, INC.
RBC CAPITAL MARKETS, LLC
MORGAN STANLEY
