William HerfCRD Number: 2978220
Current Firm: B. C. Ziegler And Company
William Herf (CRD# 2978220) is an Investment Advisor Representative working at B. C. Ziegler And Company in Middleton, WI and has over 20 years of experience in the finance industry. William Herf has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Fiscal Fitness, LLC
Enrich Financial Partners LLC
|B.c. Ziegler And Company||Scottsdale, AZ||Mar 2016 - Current||2|
|B.c. Ziegler And Company||Scottsdale, AZ||Feb 2014 - Mar 2016||2|
|B.c. Ziegler And Company||Scottsdale, AZ||Jan 2013 - Jan 2014||1|
|B C Ziegler And Company||Scottsdale, AZ||Mar 2007 - Feb 2013||5|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Nov 1997|
|S65||NASAA Investment Advisors Law Examination||Apr 1999|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management660MILLIONS
Total Number of Accounts2,764ACCOUNTS
Average Account Value$238,796
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
AZ, CA, CT, FL, GA, IA, IL, IN, KS, MD, MI, MN, MS, MT, NE, NH, NJ, NY, OH, OR, PA, TN, TX, UT, VA, WA, WI
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