Frank F. Mountcastle
Professional summary
Frank Fisher Mountcastle III, who also goes by Frank Fisher Mountcastle, is a registered financial professional currently at HARRIS WILLIAMS located in Richmond, Virginia.
Frank is registered as a RR (Registered Representative) and started their career in finance in 1993. Frank has worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 62 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Frank Fisher Mountcastle III's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 24, 2012 - Present
HARRIS WILLIAMS
Office #1: 1001 Haxall Point 9th Floor, Richmond, VA 23219May 5, 1999 - June 5, 2012
SCOTT & STRINGFELLOW, LLC
September 10, 1997 - May 5, 1999
SCOTT & STRINGFELLOW, INC.
August 26, 1993 - August 7, 1997
A. G. EDWARDS & SONS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/24/2012)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 62
Date: 8/25/1993
Corporate Securities Limited Representative ExaminationFINRA
Current Firm
HARRIS WILLIAMS
CRD#: 113930 / SEC#: , 8-53380
Contact information
FINRA licenses (45 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC BANK, NATIONAL ASSOCIATION | PARENT | |
| BALTIMORE, ROBERT MARTIN | BOARD MEMBER / CO-CEO | 4445610 |
| HART, JASON EDWARD HEATH | FINOP | 4173982 |
| HART, JASON EDWARD HEATH | PRINCIPAL FINANCIAL OFFICER | 4173982 |
| HART, JASON EDWARD HEATH | PRINCIPAL OPERATIONS OFFICER | 4173982 |
| LONG, GEORGE PHILLIP MR. | CHIEF LEGAL OFFICER AND SECRETARY OF THE BOARD | 5094038 |
| NEUNER, JOHN IV | BOARD MEMBER / CO-CEO | 4578584 |
| POGGI, PAUL THOMAS | CHIEF OPERATING OFFICER AND BOARD MEMBER | 5277661 |
| THOMAS, MICHAEL DUANE | BOARD MEMBER | 2992653 |
| VALENTINE, EDWARD WEST | CHAIRMAN OF THE BOARD OF MANAGERS | 2399981 |
| VAN DER WAAG, ASHLEY HOGUE | CHIEF COMPLIANCE OFFICER | 3079633 |
| WILLIAMS, JULIE ANN | BOARD MEMBER | 6040587 |
Disclosures
| Regulatory Event | 1 |
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.
Company Information
HARRIS WILLIAMS
CRD#: 113930Richmond, VA 23219TRUST BUT VERIFY
Monitor Frank Mountcastle
Get automatic monthly alerts on:
