William D. Horsfall

WILLIAM HORSFALL AND ASSOCIATES

South Pasadena, CA

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CRD#: 4472312

Professional summary

William David Horsfall is a registered financial advisor currently at WILLIAM HORSFALL AND ASSOCIATES located in South Pasadena, California and LHMP FINANCIAL & INSURANCE SERVICES located in Pasadena, California.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. William has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

SAN PASQUAL FIDUCIARY TRUST-DIRECTOR 01/01/08-PRESENT 80 HOURS PRIVATE COMPANY. LUCAS, HORSFALL, MURPHY, AND PINDROH, LLP - ACCOUNTING FIRM - CONSULTANT - 8 HOURS - 100 CORSON ST #200, PASADENA, CA 91103.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William David Horsfall'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

January 24, 2011 - Present

WILLIAM HORSFALL AND ASSOCIATES

RIA

CRD#: 149792

South Pasadena, CA

Current

January 27, 2017 - Present

LHMP FINANCIAL & INSURANCE SERVICES

Office #1: 299 N. Euclid Ave 2nd Floor, Pasadena, CA 91101

RIA

CRD#: 116767

Pasadena, CA

Past

January 7, 2010 - December 31, 2010

WILLIAM HORSFALL AND ASSOCIATES

RIA

CRD#: 149792

SOUTH PASADENA, CA

Past

January 4, 2005 - December 31, 2016

LHMP FINANCIAL & INSURANCE SERVICES

RIA

CRD#: 116767

PASADENA, CA

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

California
(1/24/2011)

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: 9/21/2004

Uniform Investment Adviser Law Examination

Current Firm

WILLIAM HORSFALL AND ASSOCIATES

CRD#: 149792 / SEC#:

California

Registered Investment Advisory firm - (1/7/2010 Approved)

Nevada

Registered Investment Advisory firm - (3/8/2018 Terminated)

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

South Pasadena, CA

Mailing Address

Phone number

(626) 827-4578

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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William D. Horsfall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William David Horsfall's CRS (Customer Relationship Summary).

Certified licenses

Experience

WILLIAM HORSFALL AND ASSOCIATES

LHMP FINANCIAL & INSURANCE SERVICES

WILLIAM HORSFALL AND ASSOCIATES

LHMP FINANCIAL & INSURANCE SERVICES

State Registrations and Notice Filings

Exams

Series 65

Date: 9/21/2004

Current Firm

WILLIAM HORSFALL AND ASSOCIATES

Contact information

Documents

Red Flags

Company Information

WILLIAM HORSFALL AND ASSOCIATES

TRUST BUT VERIFY

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