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WH

William D. Harwood

NORTHERN CAPITAL SECURITIES
San Antonio, TX
Some features on this profile are disabled
CRD#: 4479730
WH

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.

top-8-questions

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

RIA
BD
CRD#: 40659
San Antonio, TX
Current

April 7, 2020 - Present

NORTHERN CAPITAL SECURITIES CORPORATION

Office #1: 50 High Street 4th Floor, North Andover, MA 01845
RIA
BD
CRD#: 40659
North Andover, MA
Past

June 8, 2018 - April 9, 2020

ICAPITAL MARKETS LLC

BD
CRD#: 118219
NEW YORK, NY
Past

January 10, 2017 - March 23, 2018

MANAGED ACCOUNT SERVICES, LLC

BD
CRD#: 133803
Boerne, TX
Past

November 29, 2016 - December 21, 2016

CUSO FINANCIAL SERVICES, L.P.

BD
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.

BD
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.
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
Massachusetts
(4/7/2020)
IAR
Massachusetts
(7/21/2020)
RR
New York
(4/7/2020)
RR
Texas
(4/7/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/26/2008
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/11/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/21/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 10/30/2018
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/21/2006
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

NC
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)
BD
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
15

FINRA licenses (25 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
OLDAKER, DAVID GRANTCHIEF EXECUTIVE OFFICER2606043
OLDAKER, DAVID GRANTCHIEF COMPLIANCE OFFICER2606043
RYE, STEPHEN GILBERTPRESIDENT2127156

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

NORTHERN CAPITAL SECURITIES CORPORATION

CRD#: 40659San Antonio, TX

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