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EB

Elliott F. Beaulieu

HARRIS WILLIAMS
Richmond, VA 23219
Some features on this profile are disabled
CRD#: 5314742
EB

Professional summary

Elliott Ford Beaulieu, who also goes by Elliott F Beaulieu, Elliott Ford Beaulieu, is a registered financial professional currently at HARRIS WILLIAMS located in Richmond, Virginia.

Elliott is registered as a RR (Registered Representative) and started their career in finance in 2007. Elliott has worked at 8 firms and has passed the Series 63, Series 66, SIE, Series 7, Series 24, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Elliott F Beaulieu | Elliott Ford Beaulieu

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) - BD

Click below to view Elliott Ford Beaulieu'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

May 27, 2021 - Present

HARRIS WILLIAMS

Office #1: 1001 Haxall Point 9th Floor, Richmond, VA 23219
BD
CRD#: 113930
Richmond, VA
Past

February 17, 2021 - May 19, 2021

TRUIST ADVISORY SERVICES, INC.

RIA
CRD#: 283390
RICHMOND, VA
Past

February 17, 2021 - May 19, 2021

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
RICHMOND, VA
Past

January 2, 2018 - February 17, 2021

BB&T SECURITIES, LLC

RIA
CRD#: 142785
RICHMOND, VA
Past

October 8, 2014 - February 17, 2021

BB&T SECURITIES, LLC

BD
CRD#: 142785
RICHMOND, VA
Past

December 17, 2013 - January 2, 2018

BB&T INVESTMENT SERVICES, INC.

RIA
CRD#: 33856
RICHMOND, VA
Past

December 17, 2013 - January 2, 2018

BB&T INVESTMENT SERVICES, INC.

BD
CRD#: 33856
RICHMOND, VA
Past

November 1, 2013 - January 2, 2014

MORGAN STANLEY

RIA
CRD#: 149777
RICHMOND, VA
Past

November 1, 2013 - January 2, 2014

MORGAN STANLEY

BD
CRD#: 149777
RICHMOND, VA
Past

April 25, 2011 - October 21, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
RICHMOND, VA
Past

April 14, 2011 - October 21, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
RICHMOND, VA
Past

October 22, 2007 - May 20, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
RICHMOND, VA
Past

October 17, 2007 - May 20, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
RICHMOND, VA
Past

August 3, 2007 - September 5, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
RICHMOND, VA

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
Virginia
(5/27/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 7/1/2011
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 10/20/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/2/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/16/2014
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 7/10/2013
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 5/15/2013
General Securities Sales Supervisor - Options Module Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PNC BANK, NATIONAL ASSOCIATIONPARENT
BALTIMORE, ROBERT MARTINBOARD MEMBER / CO-CEO4445610
HART, JASON EDWARD HEATHFINOP4173982
HART, JASON EDWARD HEATHPRINCIPAL FINANCIAL OFFICER4173982
HART, JASON EDWARD HEATHPRINCIPAL OPERATIONS OFFICER4173982
LONG, GEORGE PHILLIP MR.CHIEF LEGAL OFFICER AND SECRETARY OF THE BOARD5094038
NEUNER, JOHN IVBOARD MEMBER / CO-CEO4578584
POGGI, PAUL THOMASCHIEF OPERATING OFFICER AND BOARD MEMBER5277661
THOMAS, MICHAEL DUANEBOARD MEMBER2992653
VALENTINE, EDWARD WESTCHAIRMAN OF THE BOARD OF MANAGERS2399981
VAN DER WAAG, ASHLEY HOGUECHIEF COMPLIANCE OFFICER3079633
WILLIAMS, JULIE ANNBOARD MEMBER6040587

Disclosures

Regulatory Event1

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

HARRIS WILLIAMS

CRD#: 113930Richmond, VA 23219

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