Markus Schmalhofer
Professional Summary
Markus Schmalhofer, who also goes by Markus Klaus Schmalhofer, is a registered financial advisor currently at HARRIS WILLIAMS located in New York, New York. Markus is registered as a RR (Registered Representative) and started their career in finance in 2007. Markus has worked at 4 firms and has passed the Series 99TO, SIE and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Markus Klaus Schmalhofer
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
20 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
HARRIS WILLIAMS | HARRIS WILLIAMS LLC | HARRIS WILLIAMS ADVISORS, INC. | HARRIS WILLIAMS & CO.
Contact Information
Main Address
1001 Haxall Point 9th Floor, Richmond, VA 23219Mailing Address
1001 Haxall Point 9th Floor, Richmond, VA 23219Phone Number
(804) 648-0072Established
Virginia since 01/01/2006Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (47 States and Territories)
Registered to provide investment advisory services in 0 US 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 |
| FIELD, ERIC THOMAS | CHIEF COMPLIANCE OFFICER | 4708462 |
| HART, JASON EDWARD HEATH | FINOP | 4173982 |
| HART, JASON EDWARD HEATH | PRINCIPAL OPERATIONS OFFICER | 4173982 |
| HART, JASON EDWARD HEATH | PRINCIPAL FINANCIAL OFFICER | 4173982 |
| NEUNER, JOHN IV | BOARD MEMBER / CO-CEO | 4578584 |
| POGGI, PAUL THOMAS | CHIEF OPERATING OFFICER AND BOARD MEMBER | 5277661 |
| THOMAS, MICHAEL DUANE | BOARD MEMBER | 2992653 |
| THOMPSON, LEIGH CHASE | CHIEF LEGAL OFFICER AND SECRETARY OF THE BOARD | 6534162 |
| VALENTINE, EDWARD WEST | CHAIRMAN OF THE BOARD OF MANAGERS | 2399981 |
| WILLIAMS, JULIE ANN | BOARD MEMBER | 6040587 |
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Markus Schmalhofer's CRS (Customer Relationship Summary).
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