William A. Hansen
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Albert Hansen was a registered financial advisor .
William is a previously registered financial advisor and started their career in finance in 1988. William had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2016 - September 11, 2017
HUDSON HERITAGE CAPITAL MANAGEMENT, INC.
November 11, 2011 - December 17, 2013
WELLS FARGO CLEARING SERVICES, LLC
November 11, 2011 - December 17, 2013
WELLS FARGO CLEARING SERVICES, LLC
February 24, 2006 - November 14, 2011
CHASE INVESTMENT SERVICES CORP.
February 24, 2006 - November 14, 2011
CHASE INVESTMENT SERVICES CORP.
June 8, 2004 - February 14, 2006
MORGAN STANLEY DW INC.
February 7, 2003 - June 1, 2004
HUDSON HERITAGE CAPITAL MANAGEMENT, INC.
February 17, 2000 - March 26, 2002
HUDSON HERITAGE CAPITAL MANAGEMENT, INC.
January 31, 1995 - October 26, 1995
MARKETING ONE SECURITIES, INC.
October 25, 1994 - January 31, 1995
USLIFE EQUITY SALES CORP.
October 29, 1993 - October 7, 1994
GARY GOLDBERG & CO., INC.
June 8, 1992 - October 25, 1993
GUARDIAN INVESTOR SERVICES LLC
August 30, 1989 - June 13, 1990
VERAVEST INVESTMENTS, INC.
June 15, 1988 - May 24, 1989
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
June 15, 1988 - May 24, 1989
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
HUDSON HERITAGE CAPITAL MANAGEMENT, INC.
CRD#: 44357 / SEC#: 801-64064, 8-50648
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
HUDSON HERITAGE CAPITAL MANAGEMENT, INC.
CRD#: 44357 / SEC#: 801-64064, 8-50648
Contact information
SEC notice filing (5 States and Territories)
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 432 |
| AUM (Assets Under Management) | $ 121,730,000 |
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.
