Harold W. Walpole

FOUNTAIN FINANCIAL GROUP

Fountain Hills, AZ 85268

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CRD#: 2674811

Professional summary

Harold William Walpole, who also goes by Will Walpole, is a registered financial advisor currently at FOUNTAIN FINANCIAL GROUP, INC. located in Fountain Hills, Arizona.

Harold is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Harold has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Will Walpole

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.

1. Walpole Wealth Advisors, LLC; Investment Related; Partner; Teaching/Writing technical analysis of the market; started 09/2008; less than 10% of time. 2. It's Your Health, PC; Non-investment Related; Secretary; Maintain firm's records; Started 04/2006; Less than 10% of time. 3. Fountain Professional Group, Inc.; Investment Related; Insurance Agent; Fixed Insurance Sales; Started 11/2017; Less than 10% of time.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harold William Walpole'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®

None

Experience

Current

December 6, 2017 - Present

FOUNTAIN FINANCIAL GROUP, INC.

Office #1: 16921 E Palisades Blvd Suite 105, Fountain Hills, AZ 85268

RIA

CRD#: 123364

Fountain Hills, AZ

Past

August 29, 2017 - October 5, 2017

CROWN CAPITAL SECURITIES, L.P.

CRD#: 6312

Peoria, AZ

Past

August 15, 2017 - January 16, 2018

CLARUS WEALTH ADVISORS, LLC

RIA

CRD#: 281160

PEORIA, AZ

Past

October 20, 2010 - August 30, 2017

WFG ADVISORS, LP

RIA

CRD#: 125073

PEORIA, AZ

Past

September 14, 2010 - August 30, 2017

WFG INVESTMENTS, INC.

CRD#: 22704

PEORIA, AZ

Past

October 23, 2009 - April 6, 2011

WALPOLE WEALTH ADVISORS, LLC

RIA

CRD#: 149496

PEORIA, AZ

Past

January 4, 1999 - September 19, 2008

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

PEORIA, AZ

Past

June 11, 1998 - January 4, 1999

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

January 31, 1997 - May 4, 1998

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

December 21, 1995 - February 7, 1997

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

November 27, 1995 - January 3, 1996

KEPLEY & CO., INCORPORATED

CRD#: 20613

RICHMOND, VA

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.

Highlighted states indicate IAR registrations

IAR

Arizona
(12/6/2017)

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: 7/7/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/1/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/5/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/24/1995

General Securities Representative Examination

Current Firm

FOUNTAIN FINANCIAL GROUP, INC.

CRD#: 123364 / SEC#:

Arizona

Registered Investment Advisory firm - (10/14/2003 Approved)

Minnesota

Registered Investment Advisory firm - (4/8/2016 Approved)

North Dakota

Registered Investment Advisory firm - (11/15/2022 Terminated)

Texas

Registered Investment Advisory firm - (11/6/2020 Approved)

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).

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Contact information

Main Address

16921 E Palisades Blvd Suite 105, Fountain Hills, AZ 85268

Mailing Address

P.o. Box 17656, Fountain Hills, AZ 85269

Phone number

(480) 837-5971

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	374
AUM (Assets Under Management)	$ 36,600,000

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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Advisor Monitoring

Firm Stability Insights

Harold W. Walpole

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harold William Walpole's CRS (Customer Relationship Summary).

Certified licenses

Experience

CROWN CAPITAL SECURITIES, L.P.

CLARUS WEALTH ADVISORS, LLC

WFG ADVISORS, LP

WFG INVESTMENTS, INC.

WALPOLE WEALTH ADVISORS, LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

ROBERT THOMAS SECURITIES, INC

MORGAN STANLEY DW INC.

FIRST UNION CAPITAL MARKETS CORP.

KEPLEY & CO., INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 7/7/2009

Series 63

Date: 12/1/1995

SIE

Date: 10/5/2017

Series 7

Date: 11/24/1995

Current Firm

FOUNTAIN FINANCIAL GROUP, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FOUNTAIN FINANCIAL GROUP, INC.

TRUST BUT VERIFY

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