William H. Hatter

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CRD#: 870358

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 Hollis Hatter, who also goes by Bill Hollis Hatter, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1979. William had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bill Hollis Hatter

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

October 3, 2019 - October 13, 2025

MARATHON CAPITAL MANAGEMENT

RIA

CRD#: 119416

HUNT VALLEY, MD

Past

June 29, 2016 - December 10, 2019

BALTIMORE CAPITAL MANAGEMENT, INC.

RIA

CRD#: 109949

BALTIMORE, MD

Past

January 3, 2005 - April 27, 2017

JANNEY MONTGOMERY SCOTT LLC

RIA

CRD#: 463

TOWSON, MD

Past

August 9, 2002 - April 27, 2017

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

TOWSON, MD

Past

January 13, 2001 - August 12, 2002

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

September 1, 1997 - January 13, 2001

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

August 24, 1979 - September 1, 1997

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

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".

MARATHON CAPITAL MANAGEMENT

MARATHON CAPITAL MANAGEMENT | MARATHON CAPITAL MANAGEMENT, LLC | MARATHON CAPITAL MANAGEMENT LLC

CRD#: 119416 / SEC#: 801-62793

RIA

Registered Investment Advisory firm - (2/20/2004 Approved)

Maryland

Registered Investment Advisory firm - (10/18/2004 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/22/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/24/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/27/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/18/1979

General Securities Representative Examination

Current Firm

MARATHON CAPITAL MANAGEMENT

MARATHON CAPITAL MANAGEMENT | MARATHON CAPITAL MANAGEMENT, LLC | MARATHON CAPITAL MANAGEMENT LLC

CRD#: 119416 / SEC#: 801-62793

RIA

Registered Investment Advisory firm - (2/20/2004 Approved)

Maryland

Registered Investment Advisory firm - (10/18/2004 Terminated)

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Contact information

Main Address

4 North Park Drive Suite 106, Hunt Valley, MD 21030-1806

Mailing Address

Phone number

(410) 329-1522

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MARATHON CAPITAL MANAGEMENT LLC (2/21/2025)

Regulatory assets under management

Total Number of Accounts	683
AUM (Assets Under Management)	$ 694,279,362

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/16/2025	Cover Page	Report
09/28/2023	Cover Page	Report
12/22/2022	Cover Page	Report

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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Firm Stability Insights

William H. Hatter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BALTIMORE CAPITAL MANAGEMENT, INC.

JANNEY MONTGOMERY SCOTT LLC

JANNEY MONTGOMERY SCOTT LLC

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

ALEX. BROWN & SONS INCORPORATED

Primary Firm SEC Registration

MARATHON CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 12/22/2004

Series 63

Date: 10/24/1979

SIE

Date: 4/27/2017

Series 7

Date: 8/18/1979

Current Firm

MARATHON CAPITAL MANAGEMENT

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MARATHON CAPITAL MANAGEMENT

TRUST BUT VERIFY

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