AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
WA

William H. Alderman

ALDERMAN & COMPANY CAPITAL
DANBURY, CT
Some features on this profile are disabled
CRD#: 1990080
WA

Professional summary

William Harris Alderman is a registered financial professional currently at ALDERMAN & COMPANY CAPITAL, LLC located in Danbury, Connecticut.

William is registered as a RR (Registered Representative) and started their career in finance in 1989. William has worked at 4 firms and has passed the Series 63, Series 65, Series 7TO, Series 99TO, Series 79TO, SIE, Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Harris Alderman's 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

January 27, 2006 - Present

ALDERMAN & COMPANY CAPITAL, LLC

Office #2: 35 Warrington Round, Danbury, CT 06810
BD
CRD#: 136492
DANBURY, CT
Past

January 3, 2011 - March 13, 2018

ALDERMAN & COMPANY ADVISORS, LLC

RIA
CRD#: 140758
DANBURY, CT
Past

August 15, 2006 - December 31, 2010

ALDERMAN & COMPANY ADVISORS, LLC

RIA
CRD#: 140758
RIDGEFIELD, CT
Past

January 9, 1992 - July 24, 1995

GE CAPITAL MARKETS, INC.

BD
CRD#: 13349
Past

June 28, 1990 - July 24, 1995

GE CAPITAL MARKETS, INC.

BD
CRD#: 13349
NORWALK, CT
Past

September 19, 1989 - May 23, 1990

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(1/27/2006)

Exams

State Security Law Exam
RR
Series 63
Date: 12/14/2005
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 6/10/2003
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/19/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/18/2004
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

A&
ALDERMAN & COMPANY CAPITAL, LLC
ALDERMAN & COMPANY CAPITAL, LLC

CRD#: 136492 / SEC#: , 8-67019

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
35 Warrington Round, Danbury, CT 06810
Mailing Address
35 Warrington Round, Danbury, CT 06810
Phone number
(203) 917-4672
Established
Connecticut since 05/27/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ALDERMAN, WILLIAM HARRISPRESIDENT AND CHIEF COMPLIANCE OFFICER1990080
VIGLIAROLO, JOSEPH CHARLESFINOP4880434

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.

Company Information

ALDERMAN & COMPANY CAPITAL, LLC

CRD#: 136492Danbury, CT

TRUST BUT VERIFY

Monitor William Alderman

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.