William N. Haraway
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 Neil Haraway, who also goes by Bill Haraway, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1974. William had worked at 5 firms and has passed the Series 65, Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 1997 - March 27, 2013
GROVE POINT INVESTMENTS, LLC
December 12, 1991 - August 7, 1997
HORNOR, TOWNSEND & KENT, LLC
September 9, 1985 - April 27, 1989
1717 CAPITAL MANAGEMENT COMPANY
February 23, 1982 - December 18, 1991
GROVE POINT INVESTMENTS, LLC
October 10, 1974 - April 15, 1987
MONY SECURITIES CORPORATION
October 10, 1974 - April 29, 1987
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
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: 9/11/1974
Registered Representative 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
