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 Wayne, Pennsylvania.
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.
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
Office #1: 690 Lee Road, Wayne, PA 19087December 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)
(10/16/2020)
Exams
What does exam status mean?
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 | |
| COGHAN, JEFFREY THOMAS | HEAD OF MARKETING, SR. VICE PRESIDENT | 2889255 |
| DIVALERIO, ANDREW | FINOP, CONTROLLER, VICE PRESIDENT, ASSISTANT TREASURER | 7634048 |
| FROST, GREGORY A. | CHAIRMAN OF THE BOARD, MANAGER, SR. MANAGING DIRECTOR, SR. VICE PRESIDENT | 2864924 |
| FURLONG, AMY NICOLE | CHIEF FINANCIAL OFFICER, EXECUTIVE VICE PRESIDENT, MANAGER | 4835814 |
| JEFFERSON, KERAYA SHERIE | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | 5046523 |
| MACKAY, JONATHAN ROBERT | CHIEF EXECUTIVE OFFICER, PRESIDENT | 3136624 |
| MELCHER, JOSEPH GARY | EXECUTIVE VICE PRESIDENT | 3152206 |
| OVERHOLT, ERNIE CLARK | CHIEF OPERATIONS OFFICER, EXECUTIVE VICE PRESIDENT | 2335499 |
| PHILLIPS, THOMAS RAYMOND | CHIEF LEGAL OFFICER, SECRETARY, SR. VICE PRESIDENT | 6431521 |
| SCHOLZ, NANCY DAVIS | AML OFFICER, VICE PRESIDENT | 4474180 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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