William H. Warner
Professional summary
William Harrison Warner, who also goes by William Harrison Warner, William Warner, 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 2021. William has worked at 3 firms and has passed the Series 63, Series 7TO and SIE exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Harrison Warner's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 21, 2025 - Present
HARTFORD FUNDS DISTRIBUTORS, LLC
Office #1: 690 Lee Road, Wayne, PA 19087May 10, 2022 - April 14, 2025
TRANSAMERICA CAPITAL, LLC
November 18, 2021 - March 3, 2022
LPL FINANCIAL 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
(5/21/2025)
(5/21/2025)
(5/21/2025)
Exams
What does exam status mean?
Series 7TO
Passed: 11/18/2021
General Securities Representative ExaminationFINRA
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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