Harry A. Wellons

CASCADES CAPITAL ASSET MANAGEMENT

Greensboro, NC 27408

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CRD#: 3058653

Professional summary

Harry Albert Wellons III, who also goes by Harry A Wellons III, is a registered financial advisor currently at CASCADES CAPITAL ASSET MANAGEMENT, LLC located in Greensboro, North Carolina.

Harry is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Harry has worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Harry A Wellons 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harry Albert Wellons 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

July 22, 2014 - Present

CASCADES CAPITAL ASSET MANAGEMENT, LLC

Office #1: 1840 Pembroke Road Suite 1, Greensboro, NC 27408

RIA

CRD#: 167102

Greensboro, NC

Past

June 1, 2009 - June 10, 2014

MORGAN STANLEY

RIA

CRD#: 149777

GREENSBORO, NC

Past

June 1, 2009 - June 10, 2014

MORGAN STANLEY

CRD#: 149777

GREENSBORO, NC

Past

February 28, 2003 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

GREENSBORO, NC

Past

February 28, 2003 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

GREENSBORO, NC

Past

December 31, 2001 - March 17, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

GREENSBORO, NC

Past

June 18, 1998 - March 17, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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".

CASCADES CAPITAL ASSET MANAGEMENT, LLC

CASCADES CAPITAL ASSET MANAGEMENT | CASCADES CAPITAL LLC | CASCADES CAPITAL ASSET MANAGEMENT, LLC

CRD#: 167102 / SEC#: 801-113166

RIA

Registered Investment Advisory firm - (5/7/2018 Approved)

North Carolina

Registered Investment Advisory firm - (5/11/2018 Terminated)

Virginia

Registered Investment Advisory firm - (5/7/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(7/22/2014)

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 65

Date: 7/8/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/23/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/16/1998

General Securities Representative Examination

Current Firm

CASCADES CAPITAL ASSET MANAGEMENT, LLC

CASCADES CAPITAL ASSET MANAGEMENT | CASCADES CAPITAL LLC | CASCADES CAPITAL ASSET MANAGEMENT, LLC

CRD#: 167102 / SEC#: 801-113166

RIA

Registered Investment Advisory firm - (5/7/2018 Approved)

North Carolina

Registered Investment Advisory firm - (5/11/2018 Terminated)

Virginia

Registered Investment Advisory firm - (5/7/2018 Terminated)

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Contact information

Main Address

1840 Pembroke Road Suite 1, Greensboro, NC 27408

Mailing Address

Phone number

(336) 404-4746

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CASCADES CAPITAL ASSET MANAGEMENT, LLC (3/18/2025)

Regulatory assets under management

Total Number of Accounts	691
AUM (Assets Under Management)	$ 321,951,547

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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Firm Stability Insights

Harry A. Wellons

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harry Albert Wellons III's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

CASCADES CAPITAL ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/8/1998

Series 63

Date: 6/23/1998

Series 7

Date: 6/16/1998

Current Firm

CASCADES CAPITAL ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CASCADES CAPITAL ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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