William E. Sweet
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 Ellery Sweet III, who also goes by Bill Sweet III, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1981. William had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 2021 - February 27, 2023
ALPINE WEALTH ADVISORS, LLC
January 1, 1999 - December 31, 2019
ALPINE WEALTH ADVISORS, LLC
September 5, 1996 - September 5, 1996
ALPINE WEALTH ADVISORS, LLC
July 20, 1992 - September 29, 1994
ISAAK BOND INVESTMENTS, INC.
November 19, 1989 - July 31, 1990
OSAIC WEALTH, INC.
September 15, 1983 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
August 24, 1981 - November 6, 1981
LEARNED & COMPANY, INC.
Primary Firm SEC Registration
ALPINE WEALTH ADVISORS, LLC
CRD#: 105433 / SEC#: 801-130531
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ALPINE WEALTH ADVISORS, LLC
CRD#: 105433 / SEC#: 801-130531
Contact information
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 420 |
| AUM (Assets Under Management) | $ 105,100,000 |
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.
