William H. Herrmann

HUDSON HERITAGE CAPITAL MANAGEMENT

Croton-on-hudson, NY 10520

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CRD#: 244198

Professional summary

William Hammond Herrmann JR is a registered financial professional currently at HUDSON HERITAGE CAPITAL MANAGEMENT, INC. located in Croton-on-hudson, New York.

William is registered as a RR (Registered Representative) and started their career in finance in 1974. William has worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

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 Hammond Herrmann JR's CRS (Customer Relationship Summary).

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

February 15, 2007 - Present

HUDSON HERITAGE CAPITAL MANAGEMENT, INC.

Office #1: 20 Baltic Place Suite 2, Croton-on-hudson, NY 10520Office #2: 20 Baltic Place Suite 2, Croton-on-hudson, NY 10520

RIA

CRD#: 44357

Croton-on-hudson, NY

Past

June 13, 2005 - February 12, 2007

LPL FINANCIAL LLC

CRD#: 6413

JENKINTOWN, PA

Past

November 29, 2004 - June 10, 2005

CROSSMARK DISTRIBUTORS, INC.

CRD#: 14970

HOUSTON, TX

Past

November 12, 2003 - September 27, 2004

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

Past

April 5, 2001 - December 13, 2001

TDI, INCORPORATED

CRD#: 30629

ENGLEWOOD, CO

Past

January 7, 2000 - November 30, 2000

SOUTHEASTERN SECURITIES, INC.

CRD#: 35502

MIAMI, FL

Past

August 5, 1998 - September 29, 1999

CONSECO SECURITIES, INC.

CRD#: 29367

CARMEL, IN

Past

June 26, 1984 - May 17, 1993

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

February 7, 1974 - August 5, 1998

CONSECO FINANCIAL SERVICES, INC.

CRD#: 629

CARMEL, IN

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".

HUDSON HERITAGE CAPITAL MANAGEMENT, INC.

CRD#: 44357 / SEC#: 801-64064, 8-50648

RIA

Registered Investment Advisory firm - SEC (1/14/2008 Approved)

New Jersey

Registered Investment Advisory firm - SEC (6/30/2022 Terminated)

New York

Registered Investment Advisory firm - SEC (9/15/1998 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

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

New Jersey
(2/15/2007)

Pennsylvania
(2/15/2007)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/6/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/6/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 2/2/1974

Registered Representative Examination

SRO Registrations

FINRA

Current Firm

HUDSON HERITAGE CAPITAL MANAGEMENT, INC.

CRD#: 44357 / SEC#: 801-64064, 8-50648

RIA

Registered Investment Advisory firm - SEC (1/14/2008 Approved)

New Jersey

Registered Investment Advisory firm - SEC (6/30/2022 Terminated)

New York

Registered Investment Advisory firm - SEC (9/15/1998 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

20 Baltic Place Suite 2 Suite 2, Croton-on-hudson, NY 10520

Mailing Address

20 Baltic Place Suite 2, Croton-on-hudson, NY 10520

Phone number

(914) 271-8102

Established

New York since 09/30/1997

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (5 States and Territories)

FINRA licenses (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 (3/5/2025)

Direct owners and executive officers

Name	Position	CRD#
PETERSON, FREDERICK WILLIAM	VICE PRESIDENT	1420142
SCIANANDRE, DOMINICK THOMAS	PRESIDENT, CHIEF COMPLIANCE OFFICER AND FINANCIAL AND OPERATIONS PRINCIPAL	872050

Regulatory assets under management

Total Number of Accounts	432
AUM (Assets Under Management)	$ 121,730,000

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.

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Firm Stability Insights

William H. Herrmann

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Hammond Herrmann JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

CROSSMARK DISTRIBUTORS, INC.

EQUITY SERVICES, INC.

TDI, INCORPORATED

SOUTHEASTERN SECURITIES, INC.

CONSECO SECURITIES, INC.

1717 CAPITAL MANAGEMENT COMPANY

CONSECO FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

HUDSON HERITAGE CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/6/1995

Series 63

Date: 4/6/1988

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 2/2/1974

FINRA

Current Firm

HUDSON HERITAGE CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (5 States and Territories)

FINRA licenses (5 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

HUDSON HERITAGE CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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