WN
William J. Nasgovitz
HEARTLAND ADVISORS
Milwaukee, WI 53202
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CRD#: 344990
WN
Professional summary
William John Nasgovitz, who also goes by William James Nasgovitz, Bill Nasgovitz, is a registered financial advisor currently at HEARTLAND ADVISORS, INC. located in Milwaukee, Wisconsin and ALPS DISTRIBUTORS, INC. located in Milwaukee, Wisconsin.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1969. William has worked at 7 firms and has passed the Series 63, Series 7TO, SIE, Series 1, Series 24 and Series 40 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
William James Nasgovitz | Bill Nasgovitz
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. Heartland Advisors; Investment-Related; 790 Water St, Ste 1200, Milwaukee, WI 53202; Investment Advisor; CEO; Start 03/1985; 160 HRS/MON; 130 HRS/MON During Trading Hours; Investment Management. 2. ALPS Distributors, Inc.; 1290 Broadway, Suite 1000, Denver, CO 80203; Investment-Related; Broker-Dealer; Registered Representative;160 HRS/MON; 130 HRS/MON During Trading Hours. 3. Milwaukee County War Memorial Center; Not Investment-Related; 750 N Lincoln Memorial Dr Milwaukee, WI 53202; War Memorial Center; Board Member; 03/21/2025; 5 HRS/MON; None During Trading Hours.
CRS (Client Relationship Summary) - RIA
Click below to view William John Nasgovitz'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®
NoneExperience
Current
October 13, 2003 - Present
HEARTLAND ADVISORS, INC.
Office #1: 790 N Water Street Suite 1200, Milwaukee, WI 53202RIA
CRD#: 29433
Milwaukee, WI
Current
August 1, 2007 - Present
ALPS DISTRIBUTORS, INC.
Office #1: 790 Water Street Suite 1200, Milwaukee, WI 53202BD
CRD#: 16853
Milwaukee, WI
Past
March 5, 2003 - July 31, 2007
HEARTLAND INVESTOR SERVICES, LLC
BD
CRD#: 29693
MILWAUKEE, WI
Past
January 10, 2002 - October 10, 2003
HEARTLAND ADVISORS, INC.
RIA
CRD#: 29433
MILWAUKEE, WI
Past
March 27, 1992 - October 10, 2003
HEARTLAND ADVISORS, INC.
BD
CRD#: 29433
MILWAUKEE, WI
Past
October 17, 1988 - June 30, 1992
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
Past
September 8, 1978 - October 17, 1988
THE MILWAUKEE COMPANY
BD
CRD#: 823
Past
February 24, 1978 - November 19, 1978
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Past
April 11, 1969 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
BD
CRD#: 6466
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".
HA
HEARTLAND ADVISORS, INC.
HEARTLAND ADVISORS, INC.
CRD#: 29433 / SEC#: 801-19074, 8-44310
RIA
Registered Investment Advisory firm - SEC (6/23/1983 Approved)BD
Terminated by SEC on 12/09/2003
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.RR
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
RR
Alabama(8/1/2007)
RR
Alaska(8/1/2007)
RR
Arizona(4/9/2008)
IAR
California(10/5/2006)
RR
California(8/3/2007)
RR
Colorado(5/9/2008)
RR
Connecticut(11/7/2007)
RR
Delaware(3/18/2008)
RR
District of Columbia(8/1/2007)
RR
Idaho(8/2/2007)
RR
Illinois(8/2/2007)
RR
Indiana(11/5/2007)
RR
Kentucky(3/7/2008)
RR
Louisiana(11/7/2007)
RR
Maryland(8/2/2007)
RR
Massachusetts(4/10/2008)
RR
Minnesota(8/1/2007)
RR
Mississippi(8/2/2007)
RR
Missouri(8/6/2007)
RR
Montana(4/10/2008)
RR
Nebraska(8/8/2007)
RR
Nevada(11/7/2007)
RR
New Hampshire(8/1/2007)
RR
New Mexico(9/12/2007)
RR
New York(8/15/2008)
RR
North Carolina(8/1/2007)
RR
Oklahoma(3/3/2008)
RR
Pennsylvania(8/2/2007)
RR
Puerto Rico(4/6/2010)
RR
Rhode Island(2/13/2008)
RR
South Carolina(11/6/2007)
RR
South Dakota(5/14/2008)
RR
Tennessee(8/21/2008)
RR
Texas(8/9/2007)
IAR
Texas(3/8/2021)
RR
Utah(8/2/2007)
RR
Virgin Islands(1/13/2010)
RR
Virginia(9/7/2007)
RR
West Virginia(10/24/2007)
IAR
Wisconsin(10/13/2003)
RR
Wisconsin(11/2/2007)
RR
Wyoming(8/1/2007)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 3/27/1969
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 40
Date: 6/27/1975
Registered Principal ExaminationSRO Registrations
RR
FINRA
Current Firm
HA
HEARTLAND ADVISORS, INC.
HEARTLAND ADVISORS, INC.
CRD#: 29433 / SEC#: 801-19074, 8-44310
RIA
Registered Investment Advisory firm - SEC (6/23/1983 Approved)BD
Terminated by SEC on 12/09/2003
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Contact information
Main Address
790 N Water Street Suite 1200, Milwaukee, WI 53202
Mailing Address
Phone number
(414) 347-7777
Established
Wisconsin since 03/03/1953
Firm type
Corporation
Fiscal year end
December
# of Employees
26
SEC notice filing (17 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 92 |
| AUM (Assets Under Management) | $ 1,885,901,565 |
Disclosures
| Regulatory Event | 3 |
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.
Company Information
HEARTLAND ADVISORS, INC.
CRD#: 29433Milwaukee, WI 53202TRUST BUT VERIFY
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