William H. Peek

CARTY, HARDING & HEARN

Little Rock, AR 72211

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CRD#: 5214186

Professional summary

William Hamilton Peek, who also goes by Hamilton Peek, is a registered financial professional currently at CARTY, HARDING & HEARN, INC. located in Little Rock, Arkansas.

William is registered as a RR (Registered Representative) and started their career in finance in 2007. William has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Hamilton Peek

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) - BD

Click below to view William Hamilton Peek's CRS (Customer Relationship Summary).

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

May 10, 2022 - Present

CARTY, HARDING & HEARN, INC.

Office #1: 900 S. Shackleford Rd Suite 100, Little Rock, AR 72211

CRD#: 7001

Little Rock, AR

Past

November 15, 2019 - May 11, 2022

CREWS & ASSOCIATES, INC.

RIA

CRD#: 8052

LITTLE ROCK, AR

Past

April 20, 2009 - May 11, 2022

CREWS & ASSOCIATES, INC.

CRD#: 8052

LITTLE ROCK, AR

Past

October 13, 2008 - April 27, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

FAYETTEVILLE, AR

Past

September 18, 2008 - April 27, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

FAYETTEVILLE, AR

Past

June 18, 2007 - June 6, 2008

CNR SECURITIES, LLC

CRD#: 18466

SAN FRANCISCO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Arizona
(8/17/2023)

Arkansas
(5/10/2022)

California
(5/10/2022)

Colorado
(12/20/2024)

Connecticut
(5/10/2022)

Delaware
(5/10/2022)

Florida
(5/10/2022)

Illinois
(10/31/2022)

Massachusetts
(5/10/2022)

Minnesota
(11/15/2023)

Missouri
(12/14/2022)

Montana
(12/14/2022)

New Jersey
(9/18/2023)

New York
(5/10/2022)

Ohio
(8/17/2023)

Pennsylvania
(5/10/2022)

Tennessee
(5/10/2022)

Texas
(5/10/2022)

Washington
(11/2/2022)

West Virginia
(5/10/2022)

Wisconsin
(5/10/2022)

Exams

State Security Law Exam

IAR

Series 66

Date: 10/10/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/6/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 10/31/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/16/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CARTY, HARDING & HEARN, INC.

CARTY & COMPANY, INC. | CHH | CARTY, HARDING, & HEARN, INC. | CARTY, HARDING & HEARN, INC. | CARTY, HARDING & HEARN

CRD#: 7001 / SEC#: , 8-19082

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

6263 Poplar Avenue Suite 800, Memphis, TN 38119

Mailing Address

P.o. Box 17527, Memphis, TN 38187-0527

Phone number

(901) 767-8940

Established

Tennessee since 10/07/1970

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CARTY FINANCIAL CORPORATION	OWNER
CARTY, BILLY RANDOLPH	CEO	42297
CARTY, WILLIAM LAWRENCE	PRESIDENT	2356971
HEARN, JOHN ARTHUR	MANAGING DIRECTOR	2078994
RUETTEN, ANGELA LYNN	CFO
SCOLA, JENNIFER CARTY	COO, CCO	1720872
TUCKER, CLARK BOMAR	FINOP	1977842

Disclosures

Regulatory Event

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

Firm Stability Insights

William H. Peek

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Hamilton Peek's CRS (Customer Relationship Summary).

Certified licenses

Experience

CREWS & ASSOCIATES, INC.

CREWS & ASSOCIATES, INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

CNR SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/10/2008

Series 63

Date: 7/6/2007

SIE

Date: 10/1/2018

Series 31

Date: 10/31/2008

Series 7

Date: 6/16/2007

FINRA

Current Firm

CARTY, HARDING & HEARN, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CARTY, HARDING & HEARN, INC.

TRUST BUT VERIFY

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