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William Henry Haemmerle Iii

DCF
Florham Park, NJ
·CRD# 3189127·27 years experience

Professional Summary

William Henry Haemmerle III is a registered financial advisor currently at DCF, LLC located in Florham Park, New Jersey. William is registered as a RR (Registered Representative) and started their career in finance in 1999. William has worked at 6 firms and has passed the Series 63, SIE, Series 79TO, Series 7 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

More Resources

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

27 years in the financial services industry

Current & Past Employments

Current

DCF, LLCCurrent·CRD# 149102
BD
100 Campus Drive Suite 400, Florham Park, NJ 07932
April 7, 2021 - Present

Past

CRITO CAPITAL LLCPast·CRD# 161724
BD
Westport, CT
January 15, 2020 - September 23, 2020
REVERE MERCHANT SECURITIES, LLCPast·CRD# 171843
BD
New York, NY
July 23, 2015 - January 8, 2016
KILDARE CAPITAL, INC.Past·CRD# 45796
BD
Berwyn, PA
August 18, 2009 - January 22, 2014
AMPER INVESTMENT BANKING L.L.C.Past·CRD# 135459
BD
New York, NY
June 12, 2006 - August 14, 2009
PORTIGON SECURITIES INC.Past·CRD# 10050
BD
New York, NY
March 3, 1999 - June 28, 2005

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Current Firm

DL
DCF, LLC

DCF | DECOSIMO CORPORATE FINANCE, LLC | DECOSIMO CORPORATE FINANCE | DCF, LLC

CRD#: 149102 / SEC#: 8-68111
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

Contact Information

Main Address

629 Market Street Suite 120, Chattanooga, TN 37402

Mailing Address

629 Market Street Suite 120, Chattanooga, TN 37402

Phone Number

(423) 991-3680

Established

Tennessee since 11/20/2008

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (6 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DECOSIMO, JOHN THOMASMANAGING MEMBER, CEO,COO,CCO,CFO5327873
ROUGH, ROBERT MACKINTOSHPRINCIPAL2466229
SILVERMAN, STEVEN DEREKPRINCIPAL5784702

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
New Jersey
(4/9/2021)
RR
New York
(4/9/2021)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 2020About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Jan 2023About the SIE exam

Series 79TO — Investment Banking Registered Representative Examination

Passed Dec 2020About the Series 79TO exam

Series 7 — General Securities Representative Examination

Passed Mar 1999About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Mar 2001About the Series 24 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view William Henry Haemmerle III's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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