William J. Flick
Professional summary
William John Flick, CIMA®, who also goes by Bill Flick, Billy Flick, William John Flick III, is a registered financial professional currently at HARTFORD FUNDS DISTRIBUTORS, LLC located in Glen Allen, Virginia.
William is registered as a RR (Registered Representative) and started their career in finance in 2004. William has 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) - BD
Click below to view William John Flick's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 16, 2020 - Present
HARTFORD FUNDS DISTRIBUTORS, LLC
December 9, 2014 - October 20, 2020
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
April 9, 2012 - December 8, 2014
AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.
April 3, 2012 - December 8, 2014
AMUNDI DISTRIBUTOR US, INC.
May 1, 2010 - March 21, 2012
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
May 1, 2010 - March 21, 2012
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
June 9, 2006 - May 1, 2010
BOFA ADVISORS, LLC
May 4, 2006 - May 1, 2010
BOFA DISTRIBUTORS, INC.
August 25, 2004 - May 1, 2006
WELLS FARGO CLEARING SERVICES, 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
(10/16/2020)
(4/25/2023)
(10/16/2020)
Exams
FINRA
Current Firm
HARTFORD FUNDS DISTRIBUTORS, LLC
CRD#: 45995 / SEC#: 801-53584, 8-51290
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARTFORD FUNDS MANAGEMENT GROUP, INC | OWNER OF HARTFORD FUNDS DISTRIBUTORS, LLC | |
| DIVALERIO, ANDREW | FINOP, CONTROLLER, VICE PRESIDENT | 7634048 |
| FROST, GREGORY A. | CHAIRMAN OF THE BOARD, SR. MANAGING DIRECTOR | 2864924 |
| FURLONG, AMY NICOLE | CHIEF FINANCIAL OFFICER, BOARD MANAGER, EXECUTIVE VICE PRESIDENT | 4835814 |
| GARGER, WALTER FRANCIS | GENERAL COUNSEL AND MANAGING DIRECTOR | 4753411 |
| JEFFERSON, KERAYA SHERIE | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | 5046523 |
| JORENS, KATHLEEN E | TREASURER, SENIOR VICE PRESIDENT | 6145607 |
| MACKAY, JONATHAN ROBERT | CHIEF EXECUTIVE OFFICER, PRESIDENT | 3136624 |
| MELCHER, JOSEPH GARY | AML OFFICER, EXECUTIVE VICE PRESIDENT | 3152206 |
| SWANSON, MARTIN ALLEN | CHIEF MARKETING OFFICER, VICE PRESIDENT | 1414020 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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