William F. Hartfiel
Professional summary
William Frederick Hartfiel, who also goes by Rick Hartfiel, William F Hartfiel III, William Frederick Hartfiel III, is a registered financial professional currently at CRAIG-HALLUM CAPITAL GROUP LLC located in Minneapolis, Minnesota.
William is registered as a RR (Registered Representative) and started their career in finance in 1991. William has worked at 3 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 62 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Frederick Hartfiel's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 12, 2005 - Present
CRAIG-HALLUM CAPITAL GROUP LLC
Office #1: 323 N Washington Ave Suite 300, Minneapolis, MN 55401Office #2: 323 N Washington Ave Suite 300, Minneapolis, MN 55401April 6, 1998 - May 4, 2000
RBC CAPITAL MARKETS, LLC
May 2, 1996 - April 6, 1998
WESSELS, ARNOLD & HENDERSON, L.L.C.
August 27, 1991 - March 22, 1994
WESSELS, ARNOLD & HENDERSON, L.L.C.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/22/2023)
(3/22/2023)
(3/22/2023)
(10/12/2005)
(3/22/2023)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 62
Date: 5/1/1996
Corporate Securities Limited Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
CRAIG-HALLUM CAPITAL GROUP LLC
CRD#: 121395 / SEC#: , 8-65407
Contact information
FINRA licenses (44 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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