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William David Harwood

Northern Capital Securities Corporation

San Antonio, TX

North Andover, MA

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Current Employers
Northern Capital Securities Corporation

50 High Street 4Th Floor, North Andover, MA 01845 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2020-07-21
  • MA RA
    APPROVED
    Since 2020-07-21

Branch Locations

401 East Sonterra Boulevard Suite 375, San Antonio, TX 78258 • United States

50 High Street 4Th Floor, North Andover, MA 01845 • UNITED STATES

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Unemployed San Antonio TX 03/2016 11/2016
Cuso Financial Services, Lp San Diego CA 11/2016 12/2016
Managed Account Services Llc San Antonio TX 01/2017 03/2018
Axio Financial Llc New York NY 06/2018 04/2020
Northern Capital Securities Corporation North Andover MA 04/2020 Present
  • 03/2016 → 11/2016
    Unemployed
    San Antonio, TX
  • 11/2016 → 12/2016
    Cuso Financial Services, Lp
    San Diego, CA
  • 01/2017 → 03/2018
    Managed Account Services Llc
    San Antonio, TX
  • 06/2018 → 04/2020
    Axio Financial Llc
    New York, NY
  • 04/2020 → Present
    Northern Capital Securities Corporation
    North Andover, MA
Previous Registrations
  • 2016-11-28 → 2016-12-21
    Cuso Financial Services, L.P.
    San Antonio, TX
    San Antonio, TX
    Kitty Hawk, NC
  • 2008-06-30 → 2016-04-13
    Advisors Asset Management, Inc.
    San Antonio, TX
    San Antonio, TX
    Boerne, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-06-26
S63 Uniform Securities Agent State Law Examination 2002-06-11
  • S65 Uniform Investment Adviser Law Examination
    2008-06-26
  • S63 Uniform Securities Agent State Law Examination
    2002-06-11
Other Names
  • Wiliam David Harwood

View on SEC IAPD

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN ANTONIO, TX
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