WH
William J. Hertzog
RBC CAPITAL MARKETS | Senior VP
CAVE CREEK, AZ
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CRD#: 2095297
WH
Professional summary
William Joseph Hertzog, CIMA®, who also goes by William Hertzog, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Cave Creek, Arizona.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. William has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Trust & estate planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
250K
Are you a "fiduciary"?
Yes
Aliases
William Hertzog
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.
RENTAL PROPERTY; NON INVESTMENT RELATED; HAYDEN LAKE, ID; 100% OWNERSHIP W/SPOUSE; 2 HRS PER MONTH; RENT VACTION HOME 5-8 WEEKS A YEAR
CRS (Client Relationship Summary) - RIA
Click below to view William Joseph Hertzog's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Joseph Hertzog'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®
Experience
Current
June 10, 2016 - Present
RBC CAPITAL MARKETS, LLC
Office #2: 2398 East Camelback Road Suite 700, Phoenix, AZ 85016-3467RIA
BD
CRD#: 31194
CAVE CREEK, AZ
Current
June 1, 2016 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 2398 East Camelback Road Suite 700, Phoenix, AZ 85016-3467RIA
BD
CRD#: 31194
Phoenix, AZ
Past
September 16, 2013 - December 31, 2014
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
PHOENIX, AZ
Past
June 26, 2009 - June 3, 2016
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
PHOENIX, AZ
Past
June 1, 2009 - July 1, 2009
MORGAN STANLEY
BD
CRD#: 149777
PHOENIX, AZ
Past
November 7, 2003 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
PHOENIX, AZ
Past
November 5, 1999 - November 26, 2003
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
SCOTTSDALE, AZ
Past
November 5, 1999 - November 26, 2003
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
February 28, 1997 - November 30, 1999
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
Past
November 23, 1993 - March 14, 1997
RAUSCHER PIERCE REFSNES, INC.
BD
CRD#: 6663
DALLAS, TX
Past
May 19, 1992 - November 29, 1993
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
November 19, 1990 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
BD
CRD#: 5774
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(6/1/2016)
RR
Arkansas(8/29/2023)
RR
California(6/1/2016)
RR
Colorado(6/1/2016)
RR
Connecticut(7/1/2019)
RR
Delaware(10/5/2017)
RR
District of Columbia(10/16/2024)
RR
Florida(3/18/2020)
RR
Georgia(12/16/2016)
RR
Hawaii(2/20/2024)
RR
Idaho(6/1/2016)
RR
Illinois(6/1/2016)
RR
Indiana(6/1/2016)
RR
Iowa(6/1/2016)
RR
Kansas(10/7/2022)
RR
Kentucky(6/1/2016)
RR
Maryland(1/3/2020)
RR
Massachusetts(6/1/2016)
RR
Michigan(7/1/2024)
RR
Minnesota(7/19/2018)
RR
Missouri(6/1/2016)
RR
Montana(6/2/2016)
RR
Nebraska(10/22/2024)
RR
Nevada(10/4/2022)
RR
New Jersey(9/30/2022)
RR
New Mexico(6/27/2016)
RR
New York(6/1/2016)
RR
North Carolina(6/27/2022)
RR
Ohio(11/5/2019)
RR
Oklahoma(10/23/2024)
RR
Oregon(6/1/2016)
RR
Tennessee(8/12/2022)
RR
Texas(6/10/2016)
IAR
Texas(6/10/2016)
RR
Utah(9/20/2022)
RR
Virginia(10/17/2024)
RR
Washington(6/1/2016)
RR
Wisconsin(10/22/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
200 Vesey St., New York, NY 10281
Mailing Address
250 Nicollet Mall Suite 1600, Minneapolis, MN 55401
Phone number
(612) 371-2811
Established
Minnesota since 11/01/2010
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
8,476
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | DIRECT OWNER | |
| CARLESIMO, PAUL ADAM | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 4718504 |
| ESPENAK, KRISTEN ELIZABETH | CHIEF RISK OFFICER, USA | 5570750 |
| GIEGERICH, ROBERT ARTHUR | PRINCIPAL FINANCIAL OFFICER | 5736294 |
| GLASSMAN, DORJE TSERING | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 6568226 |
| LISCHIN, MATTHEW CODY | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 4974723 |
| O'CONNOR, SEAN WALTER | CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 6578918 |
| PENN, JOHN CHRISTOPHER | GENERAL COUNSEL | 5135403 |
| SAGISSOR, THOMAS STEVEN | PRESIDENT OF RBC WEALTH MANAGEMENT | 2429425 |
| SCHREINER, CINDY LOUISE | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER | 1470050 |
| SPERDUTO, VITO ANTONIO | DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD | 2524961 |
| THORNE, BRETT LANE | PRESIDENT, RBC CLEARING & CUSTODY | 2523268 |
| THURLOW, JOHN J | CHIEF OPERATING OFFICER | 5726613 |
Regulatory assets under management
| Total Number of Accounts | 477,674 |
| AUM (Assets Under Management) | $ 259,962,335,074 |
Disclosures
| Regulatory Event | 364 |
| Civil Event | 3 |
| Arbitration | 114 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/27/2024 | ||
| 09/14/2023 |
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
RBC CAPITAL MARKETS, LLC
Senior VPCRD#: 31194Cave Creek, AZTRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
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