Herdley D. Harrison

VIRTUS INVESTMENT ADVISERS

ROSWELL, GA

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CRD#: 5192841

Professional summary

Herdley Dennis Ward Harrison, who also goes by Herdley Dennis Ward Harrison I, Herdley Harrison, is a registered financial advisor currently at VIRTUS INVESTMENT ADVISERS, LLC located in Roswell, Georgia and VP DISTRIBUTORS LLC located in Atlanta, Georgia.

Herdley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Herdley has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Herdley Dennis Ward Harrison I | Herdley Harrison

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 Herdley Dennis Ward Harrison'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

January 28, 2025 - Present

VIRTUS INVESTMENT ADVISERS, LLC

RIA

CRD#: 106982

ROSWELL, GA

Current

November 6, 2024 - Present

VP DISTRIBUTORS LLC

Office #1: 3333 Piedmont Road Ne Suite 1500, Atlanta, GA 30305

CRD#: 3036

Atlanta, GA

Past

August 3, 2023 - October 21, 2024

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

Atlanta, GA

Past

March 27, 2023 - July 27, 2023

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

PEACHTREE COR, GA

Past

March 13, 2013 - August 6, 2015

PROFUNDS DISTRIBUTORS, INC.

CRD#: 19541

BETHESDA, MD

Past

May 22, 2008 - March 1, 2013

CALVERT INVESTMENT DISTRIBUTORS, INC.

CRD#: 37527

BETHESDA, MD

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".

VIRTUS INVESTMENT ADVISERS, LLC

PHOENIX INVESTMENT COUNSEL, INC | VIRTUS INVESTMENT ADVISERS, LLC | VIRTUS INVESTMENT ADVISERS, INC.

CRD#: 106982 / SEC#: 801-5995

RIA

Registered Investment Advisory firm - (9/17/1969 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

Connecticut
(1/28/2025)

Georgia
(11/6/2024)

Indiana
(1/3/2025)

Maryland
(1/3/2025)

Pennsylvania
(1/3/2025)

Tennessee
(1/3/2025)

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 65

Date: 1/28/2025

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/17/2023

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/27/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 12/22/2022

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/22/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/21/2008

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

VIRTUS INVESTMENT ADVISERS, LLC

PHOENIX INVESTMENT COUNSEL, INC | VIRTUS INVESTMENT ADVISERS, LLC | VIRTUS INVESTMENT ADVISERS, INC.

CRD#: 106982 / SEC#: 801-5995

RIA

Registered Investment Advisory firm - (9/17/1969 Approved)

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Contact information

Main Address

One Financial Plaza 26th Floor, Hartford, CT 06103

Mailing Address

Phone number

(800) 248-7971

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	105
AUM (Assets Under Management)	$ 53,982,609,839

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

Herdley D. Harrison

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Herdley Dennis Ward Harrison's CRS (Customer Relationship Summary).

Certified licenses

Experience

VP DISTRIBUTORS LLC

INVESCO DISTRIBUTORS, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

PROFUNDS DISTRIBUTORS, INC.

CALVERT INVESTMENT DISTRIBUTORS, INC.

Primary Firm SEC Registration

VIRTUS INVESTMENT ADVISERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/28/2025

Series 63

Date: 7/17/2023

Series 7TO

Date: 3/27/2023

SIE

Date: 12/22/2022

Series 7

Date: 12/22/2009

Series 6

Date: 5/21/2008

FINRA

Current Firm

VIRTUS INVESTMENT ADVISERS, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

VIRTUS INVESTMENT ADVISERS, LLC

TRUST BUT VERIFY

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