SL
Stephen M. Lessing
HARRIS WILLIAMS PRIMARY FUND PLACEMENT LLC
Hobe Sound, FL 33455
Some features on this profile are disabled
CRD#: 5306328
SL
Professional summary
Stephen Marion Lessing JR. is a registered financial professional currently at HARRIS WILLIAMS PRIMARY FUND PLACEMENT LLC 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 1 firm 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
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.
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
April 25, 2007 - Present
HARRIS WILLIAMS PRIMARY FUND PLACEMENT LLC
Office #1: 11450 S.e. Dixie Highway Suite 207, Hobe Sound, FL 33455BD
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
California(5/10/2007)
RR
Connecticut(5/10/2007)
RR
District of Columbia(4/25/2007)
RR
Florida(4/25/2007)
RR
Georgia(5/10/2007)
RR
Hawaii(11/22/2022)
RR
Illinois(5/10/2007)
RR
Louisiana(4/18/2023)
RR
Maine(7/31/2019)
RR
Maryland(4/25/2007)
RR
Massachusetts(5/10/2007)
RR
Minnesota(5/4/2011)
RR
New Jersey(4/25/2007)
RR
New York(5/10/2007)
RR
Ohio(4/26/2007)
RR
Pennsylvania(5/10/2007)
RR
Texas(5/10/2007)
RR
Virginia(5/10/2007)
RR
Washington(5/10/2007)
RR
Wisconsin(2/8/2011)
RR
Wyoming(6/20/2014)
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 PRIMARY FUND PLACEMENT LLC
ALPHALINK PARTNERS LLC | HARRIS WILLIAMS PRIMARY FUND PLACEMENT LLC | AQUEDUCT CAPITAL GROUP, LLC
CRD#: 131452 / SEC#: , 8-66464
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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
2820 Selwyn Avenue, Suite 550, Charlotte, NC 28209
Mailing Address
2820 Selwyn Avenue, Suite 550, Charlotte, NC 28209
Phone number
(704) 973-9919
Established
Delaware since 01/09/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC BANK NATIONAL ASSOCIATION | PARENT | |
| AQUEDUCT CAPITAL HOLDINGS, LLC | SOLE MEMBER | |
| EDWARDS, FRANK HOOKER | CEO/CCO/MEMBER OF AQUEDUCT CAPITAL HOLDINGS, LLC | 2151464 |
| LESSING, STEPHEN MARION JR. | PARTNER | 5306328 |
| LONG, GEORGE PHILLIP MR. | CORPORATE SECRETARY | 5094038 |
| NEUNER, JOHN IV | BOARD MEMBER | 4578584 |
| VALENTINE, EDWARD WEST | BOARD MEMBER | 2399981 |
| WILCOX, BLAKE MILLER | FINOP | 5982383 |
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.
