Unclaimed Profile

Herbert Lyman Ormond

H. L. ORMOND & COMPANY, LLC·GREENVILLE, North Carolina

SIE, Series 3, Series 7, Series 8, Series 9, Series 10, Series 63, Series 66Clean record22 years registeredH. L. ORMOND & COMPANY, LLC

1001 CONFERENCE DRIVE, GREENVILLE, NC 27858CRD# 1526791Firm CRD# 313593

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Herbert Lyman Ormond · GREENVILLE, NC

Registration

CRD #1526791 · H. L. ORMOND & COMPANY, LLC · 22 years registered

Brand Profile

Not yet started

Career History

H. L. ORMOND & COMPANY, LLC

Jun 2021 – present

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Feb 2011 – Jun 2021

GREENVILLE, NC

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Apr 2009 – Feb 2011

GREENVILLE, NC

WACHOVIA SECURITIES, LLC

Jan 2008 – Apr 2009

GREENVILLE, NC

A. G. EDWARDS & SONS, INC.

Mar 2004 – Jan 2008

GREENVILLE, NC

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 7

Series 8

Series 9

Series 10

Series 63

Series 66

Registration record

First registered · March 25, 2004

Years registered · 22

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

H. L. ORMOND & COMPANY, LLC

CRD 313593 · SEC 801-120841

AUM

$317M

Regulatory assets under management

Employees

1,135 client accounts

Services offered by H. L. ORMOND & COMPANY, LLC

Per Form ADV

Portfolio management (individuals)

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

View all advisors at H. L. ORMOND & COMPANY, LLC →

Introduction

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Frequently Asked Questions

What services does Herbert Lyman Ormond offer?

Herbert Lyman Ormond specializes in Investment Management. Contact their office in GREENVILLE, North Carolina for a consultation.

What are Herbert Lyman Ormond's credentials?

Herbert Lyman Ormond is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Herbert Lyman Ormond located?

Herbert Lyman Ormond is based in GREENVILLE, North Carolina, working with H. L. ORMOND & COMPANY, LLC. Their office serves clients in the GREENVILLE metropolitan area and surrounding communities.

How does Herbert Lyman Ormond charge for services?

Herbert Lyman Ormond's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is H. L. ORMOND & COMPANY, LLC?

H. L. ORMOND & COMPANY, LLC has approximately 3 employees and manages $317M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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