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JH

John W. Harris

WMC CAPITAL MANAGEMENT
Concord, NC 28025
Some features on this profile are disabled
CRD#: 3028805
JH

Professional summary

John Walter Rodney Harris, who also goes by Rodney Harris, Jw Rodney Harris, is a registered financial advisor currently at WMC CAPITAL MANAGEMENT, LLC located in Concord, North Carolina.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. John has worked at 6 firms and has passed the Series 65, Series 63 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Rodney Harris | Jw Rodney Harris

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.
WEALTH MANAGEMENT OF THE CAROLINAS NON INVESTMENT RELATED. 1028 LEE-ANN DRIVE SUITE 220 CONCORD, NC 28025. NATURE OF BUSINESS INSURANCE PRODUCTS. POSITION PRESIDENT. STARTED 01/01/2002. APPOX HOURS PER MONTH 100. O HOURS FOR INVESTMENT/SECURITIES.BUSINESS: SALES AND SERVICE OF FIXED INSURANCE PRODUCTS Lincoln Newton, LLC; Concord, NC; for personal real estate investments. Position: members/managers; This activity accounts for approximately 5% of his time.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Walter Rodney Harris'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®
None

Experience

Current

April 10, 2024 - Present

WMC CAPITAL MANAGEMENT, LLC

Office #1: 1028 Lee-ann Drive Ne Suite 220, Concord, NC 28025
RIA
CRD#: 329845
Concord, NC
Past

May 17, 2024 - October 31, 2025

BROOKSTONE CAPITAL MANAGEMENT LLC

RIA
CRD#: 141413
Concord, NC
Past

June 18, 2018 - May 14, 2024

BROOKSTONE CAPITAL MANAGEMENT LLC

RIA
CRD#: 141413
Concord, NC
Past

October 10, 2007 - December 31, 2012

KALOS CAPITAL, INC.

BD
CRD#: 44337
CONCORD, NC
Past

October 13, 2003 - October 18, 2007

QUEST CAPITAL STRATEGIES, INC.

BD
CRD#: 16783
LAGUNA HILLS, CA
Past

May 10, 2002 - October 1, 2003

NEW ENGLAND SECURITIES

RIA
CRD#: 615
CHARLOTTE, NC
Past

March 26, 2002 - October 1, 2003

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

May 26, 1998 - April 3, 2002

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA

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
(4/10/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/8/2018
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/26/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 5/22/1998
Investment Company Products/Variable Contracts Representative Examination

Current Firm

WC
WMC CAPITAL MANAGEMENT, LLC
WMC CAPITAL MANAGEMENT, LLC

CRD#: 329845 / SEC#:

North Carolina
Registered Investment Advisory firm - (4/10/2024 Approved)
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Contact information

Main Address
1028 Lee-ann Drive Ne Suite 220, Concord, NC 28025
Mailing Address
Phone number
(704) 782-7233
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts231
AUM (Assets Under Management)$ 11,330,000

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

WMC CAPITAL MANAGEMENT, LLC

CRD#: 329845Concord, NC 28025

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