William E. Elder
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 Earl Elder, who also goes by Bill Elder, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1982. William had worked at 6 firms and has passed the Series 63, Series 52TO, SIE, Series 5 and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2009 - December 31, 2024
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 23, 2009 - December 31, 2024
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 2, 2007 - March 23, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - March 23, 2009
MORGAN STANLEY & CO. LLC
August 19, 1991 - April 2, 2007
MORGAN STANLEY DW INC.
November 16, 1982 - April 2, 2007
MORGAN STANLEY DW INC.
May 26, 1982 - December 9, 1982
SOUTHLAND SECURITIES, INC.
January 25, 1982 - May 20, 1982
ASI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 5
Date: 12/11/1982
Interest Rate Options ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,107,860 |
| AUM (Assets Under Management) | $ 390,042,864,529 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
