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Raymond Ballard Harrison III

Investment Adviser Representative at LOMBARD ADVISERS INCORPORATED

Annapolis, MDCRD #1792140Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
38 yrs
States Registered
14 states
Exams Passed
4

Registrations & licenses

Registration type
Dual-registered
Registered in 14 states
ArizonaCaliforniaDelawareFloridaGeorgiaMarylandMinnesotaNew JerseyNew YorkNorth CarolinaPennsylvaniaSouth CarolinaTexasVirginia
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 10/28/1991
Series 63
Uniform Securities Agent State Law Examination
Passed 1/26/1988
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 1/16/1988

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
First $1,000,0001.70%
Next $2,000,0001.00%
Next $7,000,0000.75%
Source

Lombard Advisers Incorporated Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

LOMBARD ADVISERS INCORPORATEDCurrent
5/27/2004Annapolis, MD
LOMBARD SECURITIES INCORPORATEDCurrent
3/21/2003Annapolis, MD
UBS PAINEWEBBER INC.
3/8/19964/2/2003Bethesda, MD

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Raymond Ballard Harrison III has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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