William A. Pruett

WCP CAPITAL MANAGEMENT LLC

COLUMBIA, SC 29204

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CRD#: 1012724

Professional summary

William Allen Pruett, who also goes by Bill Pruett, William Llen Pruett, is a registered financial advisor currently at WCP CAPITAL MANAGEMENT LLC located in Columbia, South Carolina.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. William has worked at 4 firms and has passed the Series 66, Series 63, Series 5 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bill Pruett | William Llen Pruett

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Allen Pruett's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 8, 2009 - Present

WCP CAPITAL MANAGEMENT LLC

Office #1: 3924 Forest Drive Suite 10, Columbia, SC 29204

RIA

CRD#: 151995

COLUMBIA, SC

Past

April 18, 2006 - December 10, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

COLUMBIA, SC

Past

April 4, 2003 - December 10, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

COLUMBIA, SC

Past

March 29, 1993 - April 17, 2003

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

August 7, 1987 - April 20, 1993

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

Past

October 1, 1981 - August 21, 1987

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

South Carolina
(12/8/2009)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/17/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/19/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 5

Date: 11/18/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 9/19/1981

General Securities Representative Examination

Current Firm

WCP CAPITAL MANAGEMENT LLC

CRD#: 151995 / SEC#: 801-70768

RIA

Registered Investment Advisory firm - (6/21/2012 Terminated)

South Carolina

Registered Investment Advisory firm - (6/11/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

3924 Forest Drive Suite 10, Columbia, SC 29204

Mailing Address

Phone number

(803) 708-6526

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	61
AUM (Assets Under Management)	$ 24,300,989

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.

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William A. Pruett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Allen Pruett's CRS (Customer Relationship Summary).

Certified licenses

Experience

WCP CAPITAL MANAGEMENT LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

WACHOVIA SECURITIES, INC.

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/17/2006

Series 63

Date: 10/19/1981

Series 5

Date: 11/18/1981

Series 7

Date: 9/19/1981

Current Firm

WCP CAPITAL MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WCP CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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