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FIRM PROFILE
Overview
HARRIS WILLIAMS is located at 1001 Haxall Point 9th Floor, Richmond, VA 23219 and was first established at Philadelphia, Virginia in 01/01/2006. After operating for 20 years, HARRIS WILLIAMS has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of HARRIS WILLIAMS’s clients are individuals and 0% of their clients are high net worth individuals. HARRIS WILLIAMS has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at HARRIS WILLIAMS are registered to handle securities or provide financial advice. The firm has 1 disclosures, 1 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access HARRIS WILLIAMS‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at HARRIS WILLIAMS. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for HARRIS WILLIAMS Comes From
Understanding the Statistics for HARRIS WILLIAMS and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
1001 Haxall Point 9th Floor, Richmond, VA 23219
1001 Haxall Point 9th Floor, Richmond, VA 23219
Medium
(804) 648-0072
Virginia since 01/01/2006
Limited Liability Company
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | 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 |
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Advisor's working at HARRIS WILLIAMS
James Andrew Horrocks
Ryan Sullivan
Pamela Lynn Kwiatkoski
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