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GH

Gregory F. Harris

KLAREN CAPITAL
WAYNESBORO, VA
Some features on this profile are disabled
CRD#: 4984524
GH

Professional summary

Gregory F. Harris is a registered financial advisor currently at KLAREN CAPITAL located in Waynesboro, Virginia.

Gregory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Gregory has worked at 4 firms and has passed the Series 66, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory F. 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

September 4, 2009 - Present

KLAREN CAPITAL

RIA
CRD#: 151086
WAYNESBORO, VA
Past

July 3, 2008 - July 8, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
CHARLOTTESVILLE, VA
Past

July 3, 2008 - July 8, 2009

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
CHARLOTTESVILLE, VA
Past

April 2, 2007 - June 27, 2008

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
CHARLOTTESVILLE, VA
Past

April 2, 2007 - June 27, 2008

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
CHARLOTTESVILLE, VA
Past

September 21, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
CHARLOTTESVILLE, VA
Past

August 29, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
CHARLOTTESVILLE, VA

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
Virginia
(9/4/2009)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/19/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 9/24/2005
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 8/26/2005
General Securities Representative Examination

Current Firm

KC
KLAREN CAPITAL
KLAREN CAPITAL | KLAREN CAPITAL, LLC

CRD#: 151086 / SEC#:

Virginia
Registered Investment Advisory firm - (9/4/2009 Approved)
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Contact information

Main Address
Waynesboro, VA
Mailing Address
Phone number
(540) 942-5626
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts91
AUM (Assets Under Management)$ 13,300,000

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

KLAREN CAPITAL

CRD#: 151086Waynesboro, VA

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