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William Mchale Harrison

William M. Harrison

Some features on this profile are disabled
CRD#: 5719791
William Mchale Harrison

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

William Mchale Harrison, who also goes by Will Harrison, William M Harrison, William Harrison, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 2009. William had worked at 8 firms and has passed the Series 65, Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

What are your service offerings?
Cash Flow Management Strategie...
Investments
Retirement Planning Strategies
Are you a "fiduciary"?
No

Aliases

Will Harrison | William M Harrison | William Harrison

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 5, 2024 - November 12, 2025

ROCK POINT ADVISORS, LLC

RIA
CRD#: 130825
BURLINGTON, VT
Past

September 25, 2020 - July 3, 2024

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
COLCHESTER, VT
Past

July 7, 2020 - July 3, 2024

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
COLCHESTER, VT
Past

April 5, 2018 - June 2, 2020

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
HADLEY, MA
Past

March 17, 2016 - December 4, 2017

GAGE-WILEY & CO., INC.

BD
CRD#: 344
NORTHAMPTON, MA
Past

January 28, 2014 - February 23, 2016

NYLIFE SECURITIES LLC

BD
CRD#: 5167
COLCHESTER, VT
Past

September 13, 2012 - October 24, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
BURLINGTON, VT
Past

September 12, 2012 - October 24, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
BURLINGTON, VT
Past

November 10, 2011 - May 10, 2012

EDWARD JONES

RIA
CRD#: 250
WILLISTON, VT
Past

October 24, 2011 - May 10, 2012

EDWARD JONES

BD
CRD#: 250
WILLISTON, VT
Past

November 23, 2009 - April 12, 2011

HENNION & WALSH, INC.

BD
CRD#: 25766
PARSIPPANY, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RP
ROCK POINT ADVISORS, LLC
GLENWOOD INVESTMENT ADVISORS | ROCK POINT ADVISORS, LLC | HUFFMAN, MICHAEL LEIGHTON

CRD#: 130825 / SEC#: 801-62923

RIA
Registered Investment Advisory firm - (4/30/2004 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/4/2020
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 11/4/2011
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/14/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/21/2009
General Securities Representative Examination

Current Firm

RP
ROCK POINT ADVISORS, LLC
GLENWOOD INVESTMENT ADVISORS | ROCK POINT ADVISORS, LLC | HUFFMAN, MICHAEL LEIGHTON

CRD#: 130825 / SEC#: 801-62923

RIA
Registered Investment Advisory firm - (4/30/2004 Approved)
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Contact information

Main Address
77 College Street 4th Floor, Burlington, VT, 05401-4014
Mailing Address
Phone number
(802) 864-2266
Established
Firm type
Fiscal year end
# of Employees
9

SEC notice filing (12 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ROCK POINT ADVISORS, LLC BROCHURE ADV PART 2A AND 2B (3/27/2025)

Regulatory assets under management

Total Number of Accounts474
AUM (Assets Under Management)$ 560,398,407

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

ROCK POINT ADVISORS, LLC

Associate Financial AdvisorCRD#: 130825

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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