FE
Frank H. Edwards
HARRIS WILLIAMS PRIMARY FUND PLACEMENT LLC
Charlotte, NC 28209
Some features on this profile are disabled
CRD#: 2151464
FE
Professional summary
Frank Hooker Edwards is a registered financial professional currently at HARRIS WILLIAMS PRIMARY FUND PLACEMENT LLC located in Charlotte, North Carolina.
Frank is registered as a RR (Registered Representative) and started their career in finance in 1992. Frank has worked at 2 firms and has passed the Series 63, Series 65, Series 79TO, Series 99TO, SIE, Series 3, Series 7, Series 14 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Frank Hooker Edwards'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
October 14, 2004 - Present
HARRIS WILLIAMS PRIMARY FUND PLACEMENT LLC
Office #1: 2820 Selwyn Avenue, Suite 550, Charlotte, NC 28209Office #2: 2820 Selwyn Avenue, Suite 550, Charlotte, NC 28209BD
CRD#: 131452
Charlotte, NC
Past
October 21, 1992 - July 5, 2001
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(5/10/2005)
RR
Alaska(3/20/2025)
RR
Arizona(3/1/2024)
RR
Arkansas(5/30/2008)
RR
California(7/7/2006)
RR
Colorado(7/7/2006)
RR
Connecticut(11/24/2004)
RR
Delaware(9/16/2008)
RR
District of Columbia(9/11/2006)
RR
Florida(5/10/2005)
RR
Georgia(5/10/2005)
RR
Idaho(3/1/2024)
RR
Illinois(9/13/2006)
RR
Indiana(9/22/2006)
RR
Kansas(6/28/2013)
RR
Kentucky(1/23/2008)
RR
Louisiana(8/6/2007)
RR
Maine(7/25/2019)
RR
Maryland(8/29/2006)
RR
Massachusetts(8/30/2006)
RR
Michigan(9/12/2006)
RR
Minnesota(5/4/2011)
RR
Mississippi(4/23/2013)
RR
Missouri(9/19/2006)
RR
Nebraska(7/8/2024)
RR
Nevada(3/1/2024)
RR
New Hampshire(2/16/2016)
RR
New Jersey(5/10/2005)
RR
New Mexico(4/18/2022)
RR
New York(2/3/2005)
RR
North Carolina(10/18/2004)
RR
Ohio(10/10/2006)
RR
Oklahoma(5/28/2010)
RR
Oregon(9/15/2006)
RR
Pennsylvania(9/6/2006)
RR
Rhode Island(9/11/2006)
RR
South Carolina(1/10/2005)
RR
Tennessee(9/18/2006)
RR
Texas(1/13/2005)
RR
Utah(3/1/2024)
RR
Virginia(5/10/2005)
RR
Washington(8/28/2006)
RR
Wyoming(2/16/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
HW
HARRIS WILLIAMS PRIMARY FUND PLACEMENT LLC
ALPHALINK PARTNERS LLC | HARRIS WILLIAMS PRIMARY FUND PLACEMENT LLC | AQUEDUCT CAPITAL GROUP, LLC
CRD#: 131452 / SEC#: , 8-66464
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
2820 Selwyn Avenue, Suite 550, Charlotte, NC 28209
Mailing Address
2820 Selwyn Avenue, Suite 550, Charlotte, NC 28209
Phone number
(704) 973-9919
Established
Delaware since 01/09/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC BANK NATIONAL ASSOCIATION | PARENT | |
| AQUEDUCT CAPITAL HOLDINGS, LLC | SOLE MEMBER | |
| EDWARDS, FRANK HOOKER | CEO/CCO/MEMBER OF AQUEDUCT CAPITAL HOLDINGS, LLC | 2151464 |
| LESSING, STEPHEN MARION JR. | PARTNER | 5306328 |
| LONG, GEORGE PHILLIP MR. | CORPORATE SECRETARY | 5094038 |
| NEUNER, JOHN IV | BOARD MEMBER | 4578584 |
| VALENTINE, EDWARD WEST | BOARD MEMBER | 2399981 |
| WILCOX, BLAKE MILLER | FINOP | 5982383 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
