William D. Harwood

NORTHERN CAPITAL SECURITIES

San Antonio, TX 78258

CRD#: 4479730

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Professional summary

William David Harwood, who also goes by Wiliam David Harwood, is a registered financial advisor currently at NORTHERN CAPITAL SECURITIES CORPORATION located in San Antonio, Texas.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. William has worked at 5 firms and has passed the Series 65, Series 63, Series 52TO, Series 79TO, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Wiliam David Harwood

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) - RIA

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

CRS (Client Relationship Summary) - BD

Click below to view William David Harwood'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

July 21, 2020 - Present

NORTHERN CAPITAL SECURITIES CORPORATION

Office #1: 401 East Sonterra Boulevard Suite 375, San Antonio, TX 78258

RIA

CRD#: 40659

San Antonio, TX

Current

April 7, 2020 - Present

NORTHERN CAPITAL SECURITIES CORPORATION

Office #1: 401 East Sonterra Boulevard Suite 375, San Antonio, TX 78258

RIA

CRD#: 40659

San Antonio, TX

Past

June 8, 2018 - April 9, 2020

ICAPITAL MARKETS LLC

CRD#: 118219

NEW YORK, NY

Past

January 10, 2017 - March 23, 2018

MANAGED ACCOUNT SERVICES, LLC

CRD#: 133803

Boerne, TX

Past

November 29, 2016 - December 21, 2016

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

San Antonio, TX

Past

November 28, 2016 - December 21, 2016

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

San Antonio, TX

Past

June 30, 2008 - April 13, 2016

ADVISORS ASSET MANAGEMENT, INC.

RIA

CRD#: 46727

BOERNE, TX

Past

May 22, 2002 - April 13, 2016

ADVISORS ASSET MANAGEMENT, INC.

CRD#: 46727

BOERNE, TX

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.

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

Massachusetts
(4/7/2020)

IAR

Massachusetts
(7/21/2020)

New York
(4/7/2020)

Texas
(4/7/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/26/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/11/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/21/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 10/30/2018

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/21/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

NORTHERN CAPITAL SECURITIES CORPORATION

NORTHERN CAPITAL SECURITIES CORPORATION | SCOTT, STARR SECURITIES, INC.

CRD#: 40659 / SEC#: , 8-49130

Massachusetts

Registered Investment Advisory firm - SEC (2/6/2017 Approved)

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

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Contact information

Main Address

50 High Street 4th Floor, North Andover, MA 01845

Mailing Address

50 High Street 4th Floor, North Andover, MA 01845

Phone number

(978) 289-1000

Established

Massachusetts since 02/16/1996

Firm type

Corporation

Fiscal year end

October

Firm Size

Small

# of Employees

FINRA licenses (25 States and Territories)

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
OLDAKER, DAVID GRANT	CHIEF EXECUTIVE OFFICER	2606043
OLDAKER, DAVID GRANT	CHIEF COMPLIANCE OFFICER	2606043
RYE, STEPHEN GILBERT	PRESIDENT	2127156

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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Advisor Monitoring

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William D. Harwood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

NORTHERN CAPITAL SECURITIES CORPORATION

ICAPITAL MARKETS LLC

MANAGED ACCOUNT SERVICES, LLC

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

ADVISORS ASSET MANAGEMENT, INC.

ADVISORS ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/26/2008

Series 63

Date: 6/11/2002

Series 52TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/21/2002

Series 53

Date: 10/30/2018

Series 24

Date: 11/21/2006

FINRA

Current Firm

NORTHERN CAPITAL SECURITIES CORPORATION

Contact information

FINRA licenses (25 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

NORTHERN CAPITAL SECURITIES CORPORATION

TRUST BUT VERIFY

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