Hilario E. Tapia

WILLIAM BLAIR

Chicago, IL 60606

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CRD#: 2711292

Professional summary

Hilario Esteban Tapia, who also goes by Hilario Tapia, Steve Tapia, is a registered financial professional currently at WILLIAM BLAIR located in Chicago, Illinois.

Hilario is registered as a RR (Registered Representative) and started their career in finance in 1996. Hilario has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Hilario Tapia | Steve Tapia

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 Hilario Esteban Tapia'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

August 3, 2017 - Present

WILLIAM BLAIR

Office #1: The William Blair Building 150 North Riverside, Chicago, IL 60606

RIA

CRD#: 1252

Chicago, IL

Past

May 18, 2015 - February 8, 2016

TD AMERITRADE, INC.

CRD#: 7870

CHICAGO, IL

Past

April 4, 2011 - May 1, 2015

E*TRADE FUTURES LLC

CRD#: 145562

CHICAGO, IL

Past

May 27, 2008 - March 25, 2011

REGAL SECURITIES, INC.

CRD#: 7297

GLENVIEW, IL

Past

April 15, 2008 - May 16, 2008

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

SKOKIE, IL

Past

February 2, 2001 - February 19, 2008

REGAL SECURITIES, INC.

CRD#: 7297

GLENVIEW, IL

Past

September 27, 2000 - January 30, 2001

HOCHMAN & BAKER SECURITIES, INC.

CRD#: 19949

STAMFORD, CT

Past

October 16, 1996 - October 12, 2000

REGAL SECURITIES, INC.

CRD#: 7297

GLENVIEW, IL

Past

June 17, 1996 - September 20, 1996

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

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".

WILLIAM BLAIR

WILLIAM BLAIR | WILLIAM BLAIR & COMPANY L.L.C. | WILLIAM BLAIR & COMPANY

CRD#: 1252 / SEC#: 801-688, 8-2698

RIA

Registered Investment Advisory firm - SEC (12/24/1947 Approved)

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

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

Illinois
(8/3/2017)

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

Series 63

Date: 7/5/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/14/1996

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

WILLIAM BLAIR

WILLIAM BLAIR | WILLIAM BLAIR & COMPANY L.L.C. | WILLIAM BLAIR & COMPANY

CRD#: 1252 / SEC#: 801-688, 8-2698

RIA

Registered Investment Advisory firm - SEC (12/24/1947 Approved)

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

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Contact information

Main Address

The William Blair Building 150 North Riverside, Chicago, IL 60606

Mailing Address

The William Blair Building 150 North Riverside, Chicago, IL 60606-1594

Phone number

(312) 236-1600

Established

Delaware since 10/30/1995

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

469

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

WILLIAM BLAIR FORM ADV PART 2A - APPENDIX 1 WRAP BROCHURE (8/14/2025)

WILLIAM BLAIR & COMPANY, L.L.C. FORM ADV 2A BROCHURE (8/14/2025)

WILLIAM BLAIR EQUITY RESEARCH SERVICES FORM ADV 2A (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
WBC HOLDINGS, L.P.	HOLDING COMPANY
CITARDI, CISSIE	EXECUTIVE COMMITTEE, GENERAL COUNSEL	6642613
DEVORE, RYAN JACOB	EXECUTIVE COMMITTEE	3049671
GLEDHILL, BRENT WALKER	PRESIDENT, CEO	2921069
KENDALL, ROBERT DANIEL	EXECUTIVE COMMITTEE	2765873
MCLAUGHLIN, SCOTT THOMAS	EXECUTIVE COMMITTEE	2481285
RASAVONGXAY, WILLSON B	CHIEF COMPLIANCE OFFICER	6593731
SATTERFIELD, BETH A	EXECUTIVE COMMITTEE	6011858
TOLE, STEVEN ROBERT	EXECUTIVE COMMITTEE	5885283
TRIMBERGER, MICHAEL WILLIAM	EXECUTIVE COMMITTEE, CFO	5329834
ZIMMER, MATTHEW MONTGOMERY	EXECUTIVE COMMITTEE	4157826

Regulatory assets under management

Total Number of Accounts	37,973
AUM (Assets Under Management)	$ 58,329,726,421

Disclosures

Regulatory Event	29
Arbitration	2
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.

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Hilario E. Tapia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Hilario Esteban Tapia's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD AMERITRADE, INC.

E*TRADE FUTURES LLC

REGAL SECURITIES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

REGAL SECURITIES, INC.

HOCHMAN & BAKER SECURITIES, INC.

REGAL SECURITIES, INC.

GRUNTAL & CO., L.L.C.

Primary Firm SEC Registration

WILLIAM BLAIR

State Registrations and Notice Filings

Exams

Series 63

Date: 7/5/1996

SIE

Date: 10/1/2018

Series 7

Date: 6/14/1996

FINRA

Nasdaq Stock Market

New York Stock Exchange

Current Firm

WILLIAM BLAIR

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

WILLIAM BLAIR

TRUST BUT VERIFY

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