William R. Harmon

VISTA INVESTMENT PARTNERS

Richmond, IN 47374

Some features on this profile are disabled

CRD#: 3161504

Professional summary

William R Harmon, CFP®, who also goes by Bill Harmon, William Ray Harmon, William Harmon, is a registered financial advisor currently at VISTA INVESTMENT PARTNERS located in Richmond, Indiana and LEVEL FOUR FINANCIAL, LLC located in Richmond, Indiana.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. William has worked at 14 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bill Harmon | William Ray Harmon | William Harmon

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.

6/2024 - VISTA INVESTMENT PARTNERS, REGISTERED INVESTMENT ADVISOR, ROLE AS INVESTMENT ADVISOR RESPRESENTATIVE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William R Harmon'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®

CFP^®

Certified Financial Planner

Start date: 2012

Experience

Current

June 10, 2024 - Present

VISTA INVESTMENT PARTNERS

Office #1: One Woodside Drive, Richmond, IN 47374

RIA

CRD#: 327983

Richmond, IN

Current

June 5, 2024 - Present

LEVEL FOUR FINANCIAL, LLC

Office #1: 1 Woodside Drive, Richmond, IN 47374

CRD#: 25700

Richmond, IN

Past

July 26, 2023 - June 12, 2024

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

April 3, 2023 - June 12, 2024

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

Richmond, IN

Past

September 15, 2021 - April 3, 2023

PERSONAL CAPITAL ADVISORS CORPORATION

RIA

CRD#: 155172

Richmond, IN

Past

March 5, 2018 - September 17, 2021

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

Charlotte, NC

Past

March 5, 2018 - September 17, 2021

VANGUARD MARKETING CORPORATION

CRD#: 7452

CHARLOTTE, NC

Past

August 22, 2017 - February 9, 2018

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

CHARLOTTE, NC

Past

August 17, 2017 - February 9, 2018

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

CHARLOTTE, NC

Past

December 8, 2016 - June 12, 2017

CETERA ADVISORS LLC

CRD#: 10299

CARMEL, IN

Past

December 7, 2016 - June 12, 2017

CETERA ADVISORS LLC

RIA

CRD#: 10299

CARMEL, IN

Past

March 10, 2016 - November 28, 2016

VISIONARY HORIZONS, LLC

RIA

CRD#: 150483

KNOXVILLE, TN

Past

January 20, 2015 - January 13, 2016

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

INDIANAPOLIS, IN

Past

January 20, 2015 - January 13, 2016

J.P. MORGAN SECURITIES LLC

CRD#: 79

INDIANAPOLIS, IN

Past

January 5, 2010 - December 24, 2014

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

INDIANAPOLIS, IN

Past

October 22, 2009 - December 24, 2014

CHARLES SCHWAB & CO., INC.

CRD#: 5393

INDIANAPOLIS, IN

Past

May 24, 2006 - January 7, 2009

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

HIGH POINT, NC

Past

March 30, 1999 - April 21, 2006

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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".

VISTA INVESTMENT PARTNERS

ORANGE HORIZON WEALTH, LLC | VISTA INVESTMENT PARTNERS II, LLC | VISTA INVESTMENT PARTNERS

CRD#: 327983 / SEC#: 801-128904

RIA

Registered Investment Advisory firm - (10/13/2023 Approved)

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.

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

IAR

Indiana
(6/10/2024)

Indiana
(6/11/2024)

Ohio
(1/2/2025)

IAR

Texas
(6/10/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/28/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/2/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/25/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/1/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/29/1999

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

VISTA INVESTMENT PARTNERS

ORANGE HORIZON WEALTH, LLC | VISTA INVESTMENT PARTNERS II, LLC | VISTA INVESTMENT PARTNERS

CRD#: 327983 / SEC#: 801-128904

RIA

Registered Investment Advisory firm - (10/13/2023 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

One Woodside Drive, Richmond, IN 47374

Mailing Address

Phone number

(765) 962-5153

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VISTA BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,427
AUM (Assets Under Management)	$ 321,808,359

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.

Similar Advisors

Walter Corea

RBC CAPITAL MARKETS, LLC

IAR

Woodside, NY

Darren Dindinger

ALLWORTH FINANCIAL, L.P.

IAR

Orting, WA

Kevin Suszko

WORLD INVESTMENT ADVISORS, LLC

IAR

FORT LAUDERDALE, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

William R. Harmon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William R Harmon's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEVEL FOUR FINANCIAL, LLC

EMPOWER FINANCIAL SERVICES, INC.

EMPOWER ADVISORY GROUP, LLC

PERSONAL CAPITAL ADVISORS CORPORATION

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

CETERA ADVISORS LLC

CETERA ADVISORS LLC

VISIONARY HORIZONS, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

UVEST FINANCIAL SERVICES GROUP, INC.

PFS INVESTMENTS INC.

Primary Firm SEC Registration

VISTA INVESTMENT PARTNERS

State Registrations and Notice Filings

Exams

Series 66

Date: 12/28/2009

Series 63

Date: 3/2/1999

Series 7TO

Date: 11/25/2022

SIE

Date: 10/1/2018

Series 7

Date: 12/1/2006

Series 6

Date: 3/29/1999

FINRA

Current Firm

VISTA INVESTMENT PARTNERS

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VISTA INVESTMENT PARTNERS

TRUST BUT VERIFY

Similar Advisors