Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Hertzog is an investment advisor representative with over 30 years of experience in the financial services industry. William is currently registered with RBC Capital Markets, LLC and has been with the firm since June 2016. William has also been previously registered with other firms including Wells Fargo Advisors, LLC, Morgan Stanley Smith Barney, Citigroup Global Markets Inc, UBS Financial Services Inc., U.S. Bancorp Piper Jaffray Inc., Rauscher Pierce Refsnes, Inc. and SunAmerica Securities, Inc.. William specializes in providing financial planning, portfolio management, pension consulting, educational seminars, and selection of other advisors services to a wide range of clients. William is currently registered in 32 states.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
AZ
06/10/2016 - Present
RBC Capital Markets, LLC (PHOENIX AZ)
AZ
06/26/2009 - 06/03/2016
WELLS FARGO ADVISORS, LLC (PHOENIX AZ)
AZ
06/01/2009 - 07/01/2009
MORGAN STANLEY SMITH BARNEY (PHOENIX AZ)
AZ
11/07/2003 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (PHOENIX AZ)
NJ
11/05/1999 - 11/26/2003
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
MN
02/28/1997 - 11/30/1999
U.S. BANCORP PIPER JAFFRAY INC. (MINNEAPOLIS MN)
TX
11/23/1993 - 03/14/1997
RAUSCHER PIERCE REFSNES, INC. (DALLAS TX)
AZ
05/19/1992 - 11/29/1993
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
NA
11/19/1990 - 05/19/1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
IA
Issued 04/21/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/26/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/16/1990
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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