SL
Stephen M. Lessing
HARRIS WILLIAMS
HOBE SOUND, FL 33455
Some features on this profile are disabled
CRD#: 5306328
SL
Professional summary
Stephen Marion Lessing JR., who also goes by Stephen Marion Lessing Jr., is a registered financial professional currently at HARRIS WILLIAMS located in Hobe Sound, Florida.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 2007. Stephen has worked at 2 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Stephen Marion Lessing Jr.
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.
CRS (Client Relationship Summary) - BD
Click below to view Stephen Marion Lessing JR.'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®
NoneExperience
Current
December 1, 2025 - Present
HARRIS WILLIAMS
Office #1: 11450 S.e. Dixie Highway Suite 207, Hobe Sound, FL 33455BD
CRD#: 113930
HOBE SOUND, FL
Past
April 25, 2007 - January 15, 2026
HARRIS WILLIAMS PRIMARY FUND PLACEMENT LLC
BD
CRD#: 131452
Hobe Sound, FL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(12/1/2025)
RR
Arizona(12/1/2025)
RR
Arkansas(12/1/2025)
RR
California(12/1/2025)
RR
Colorado(12/1/2025)
RR
Connecticut(12/1/2025)
RR
Delaware(12/1/2025)
RR
District of Columbia(12/1/2025)
RR
Florida(12/1/2025)
RR
Georgia(12/1/2025)
RR
Idaho(12/1/2025)
RR
Illinois(12/1/2025)
RR
Indiana(12/1/2025)
RR
Iowa(12/1/2025)
RR
Kansas(12/1/2025)
RR
Kentucky(12/1/2025)
RR
Louisiana(12/1/2025)
RR
Maine(12/1/2025)
RR
Maryland(12/1/2025)
RR
Massachusetts(12/1/2025)
RR
Michigan(12/1/2025)
RR
Minnesota(12/1/2025)
RR
Mississippi(12/1/2025)
RR
Missouri(12/1/2025)
RR
Montana(12/1/2025)
RR
Nevada(12/1/2025)
RR
New Jersey(12/1/2025)
RR
New Mexico(12/1/2025)
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New York(12/1/2025)
RR
North Carolina(12/1/2025)
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Ohio(12/1/2025)
RR
Oklahoma(12/1/2025)
RR
Oregon(12/1/2025)
RR
Pennsylvania(12/1/2025)
RR
Rhode Island(12/1/2025)
RR
South Carolina(12/1/2025)
RR
South Dakota(12/1/2025)
RR
Tennessee(12/1/2025)
RR
Texas(12/1/2025)
RR
Utah(12/1/2025)
RR
Virginia(12/1/2025)
RR
Washington(12/1/2025)
RR
West Virginia(12/1/2025)
RR
Wisconsin(12/1/2025)
RR
Wyoming(12/1/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
HW
HARRIS WILLIAMS
HARRIS WILLIAMS | HARRIS WILLIAMS LLC | HARRIS WILLIAMS ADVISORS, INC. | HARRIS WILLIAMS & CO.
CRD#: 113930 / SEC#: , 8-53380
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
1001 Haxall Point 9th Floor, Richmond, VA 23219
Mailing Address
1001 Haxall Point 9th Floor, Richmond, VA 23219
Phone number
(804) 648-0072
Established
Virginia since 01/01/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (45 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 |
| HART, JASON EDWARD HEATH | PRINCIPAL OPERATIONS OFFICER | 4173982 |
| HART, JASON EDWARD HEATH | FINOP | 4173982 |
| HART, JASON EDWARD HEATH | PRINCIPAL FINANCIAL OFFICER | 4173982 |
| LONG, GEORGE PHILLIP MR. | CHIEF LEGAL OFFICER AND SECRETARY OF THE BOARD | 5094038 |
| NEUNER, JOHN IV | BOARD MEMBER / CO-CEO | 4578584 |
| POGGI, PAUL THOMAS | CHIEF OPERATING OFFICER AND BOARD MEMBER | 5277661 |
| THOMAS, MICHAEL DUANE | BOARD MEMBER | 2992653 |
| VALENTINE, EDWARD WEST | CHAIRMAN OF THE BOARD OF MANAGERS | 2399981 |
| VAN DER WAAG, ASHLEY HOGUE | CHIEF COMPLIANCE OFFICER | 3079633 |
| WILLIAMS, JULIE ANN | BOARD MEMBER | 6040587 |
Disclosures
| Regulatory Event | 1 |
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.
