William K. Hagerty
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 Kelly Hagerty was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1969. William had worked at 5 firms and has passed the Series 63, Series 1, Series 4, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 1999 - October 31, 2012
GROVE POINT INVESTMENTS, LLC
June 28, 1999 - February 3, 2014
SEAMOUNT FINANCIAL GROUP INC
January 13, 1984 - October 7, 1999
INDEPENDENT FINANCIAL GROUP, LLC
November 24, 1978 - December 20, 1983
INDEPENDENT FINANCIAL GROUP, LLC
February 24, 1978 - January 18, 1979
MORGAN STANLEY DW INC.
September 3, 1969 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
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
Series 1
Date: 1/8/1958
Registered Representative ExaminationF04
Date: 6/19/1978
Financial Principal ExaminationSeries 40
Date: 8/25/1969
Registered Principal ExaminationCurrent Firm
GROVE POINT INVESTMENTS, LLC
CRD#: 1763 / SEC#: 801-undefined, 8-31165
Contact information
FINRA licenses (4 States and Territories)
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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