Harry E. Figgie

GREENWICH WEALTH MANAGEMENT

Greenwich, CT 06830

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CRD#: 5578814

Professional summary

Harry Edward Figgie is a registered financial advisor currently at GREENWICH WEALTH MANAGEMENT, LLC located in Greenwich, Connecticut.

Harry is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Harry has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

GREENWICH WEALTH MANAGEMENT, LLC. Investment advisory Firm. 45 EAST PUTNAM AVE. SUITE 128 GREENWICH, CT 06830. DIRECTOR AND OPERATIONS. OCCURRING DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harry Edward Figgie's CRS (Customer Relationship Summary).

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

October 14, 2011 - Present

GREENWICH WEALTH MANAGEMENT, LLC

Office #1: 45 East Putnam Avenue Suite 128, Greenwich, CT 06830

RIA

CRD#: 142820

Greenwich, CT

Past

November 30, 2015 - December 1, 2016

PRIVATE CLIENT SERVICES, LLC

CRD#: 120222

Greenwich`, CT

Past

August 2, 2013 - December 1, 2015

LEIGH BALDWIN & CO., LLC

CRD#: 38751

GREENWICH, CT

Past

February 3, 2010 - August 19, 2013

SAXONY SECURITIES, INC.

CRD#: 115547

GREENWICH, CT

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".

GREENWICH WEALTH MANAGEMENT, LLC

GREENWICH WEALTH MANAGEMENT LLC | GREENWICH WEALTH MANAGEMENT, LLC

CRD#: 142820 / SEC#: 801-68897

RIA

Registered Investment Advisory firm - (3/20/2008 Approved)

Connecticut

Registered Investment Advisory firm - (3/24/2008 Terminated)

New Jersey

Registered Investment Advisory firm - (3/24/2008 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(10/14/2011)

IAR

New York
(4/4/2021)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/13/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/18/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/1/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/1/2010

General Securities Representative Examination

Current Firm

GREENWICH WEALTH MANAGEMENT, LLC

GREENWICH WEALTH MANAGEMENT LLC | GREENWICH WEALTH MANAGEMENT, LLC

CRD#: 142820 / SEC#: 801-68897

RIA

Registered Investment Advisory firm - (3/20/2008 Approved)

Connecticut

Registered Investment Advisory firm - (3/24/2008 Terminated)

New Jersey

Registered Investment Advisory firm - (3/24/2008 Terminated)

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Contact information

Main Address

45 East Putnam Avenue Suite 128, Greenwich, CT 06830

Mailing Address

Phone number

(203) 618-0100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GWM FORM ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	495
AUM (Assets Under Management)	$ 2,710,651,273

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

Harry E. Figgie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harry Edward Figgie's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE CLIENT SERVICES, LLC

LEIGH BALDWIN & CO., LLC

SAXONY SECURITIES, INC.

Primary Firm SEC Registration

GREENWICH WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/13/2011

Series 63

Date: 2/18/2010

SIE

Date: 12/1/2016

Series 7

Date: 2/1/2010

Current Firm

GREENWICH WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GREENWICH WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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