William E. Hamilton
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Earl Hamilton, who also goes by William E Hamilton, William Hamilton, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2001. William had worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2019 - April 7, 2020
HARRISDIRECT LLC
March 22, 2019 - April 7, 2020
E*TRADE SECURITIES LLC
January 29, 2018 - December 3, 2018
MORGAN STANLEY
January 23, 2018 - December 3, 2018
MORGAN STANLEY
January 11, 2016 - November 16, 2017
WELLS FARGO CLEARING SERVICES, LLC
January 11, 2016 - November 16, 2017
WELLS FARGO CLEARING SERVICES, LLC
November 3, 2009 - May 5, 2011
SECURITIES AMERICA, INC.
August 18, 2009 - March 7, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
August 14, 2009 - March 7, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
March 3, 2006 - August 18, 2009
EDWARD JONES
March 3, 2006 - August 18, 2009
EDWARD JONES
February 1, 2005 - March 6, 2006
WELLS FARGO INVESTMENTS, LLC
May 1, 2002 - March 6, 2006
WELLS FARGO INVESTMENTS, LLC
October 26, 2001 - April 26, 2002
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
HARRISDIRECT LLC
CRD#: 42159 / SEC#: 801-58085, 8-49730
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| E*TRADE BROKERAGE HOLDINGS, INC. | SHAREHOLDER | |
| ALBINO, MICHAEL JOSEPH | CHIEF COMPLIANCE OFFICER/CROP/SROP - BD | 864412 |
| BOCK, CYNTHIA CRAMER | CORPORATE SECRETARY | |
| CURCIO, MICHAEL JOHN | MANAGER | 1620743 |
| FOSTER, JONATHAN RICE | PRESIDENT | 1037245 |
| HAVENS, GILBERT SCHUYLER | VICE PRESIDENT - IA | 2508109 |
| KAMEDA, ROBIN GEN WAI KIRN | CHIEF COMPLIANCE OFFICER - IA | 1821479 |
| LILIEN, ROBERT JARRETT | CEO, MANAGER | 1337819 |
| REYES, CHRISTOPHER VALENTIN | CHIEF FINANCIAL OFFICER | 2105804 |
| ROBERTS, THOMAS HENRY III | VICE PRESIDENT - BD | 2104665 |
| WILSON, MICHAEL JAMES | CHIEF COMPLIANCE OFFICER - INTERNATIONAL | 2446305 |
Regulatory assets under management
| Total Number of Accounts | 90,806 |
| AUM (Assets Under Management) | $ 7,406,529,807 |
Disclosures
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/23/2023 | ||
| 09/27/2022 | ||
| 12/21/2021 |
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.
