William C. Roberts
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 Custis Roberts II, who also goes by Bill Roberts, William Custis Roberts, William Custis Roberts, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1982. William had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2015 - February 26, 2016
CAPITOL SECURITIES MANAGEMENT, INC.
November 18, 2015 - February 26, 2016
CAPITOL SECURITIES MANAGEMENT, INC.
October 3, 2013 - July 2, 2015
OSAIC INSTITUTIONS, INC.
October 3, 2013 - July 2, 2015
OSAIC INSTITUTIONS, INC.
January 24, 2012 - September 3, 2013
CETERA INVESTMENT SERVICES LLC
January 24, 2012 - September 3, 2013
CETERA INVESTMENT SERVICES LLC
June 23, 2008 - August 15, 2011
BB&T INVESTMENT SERVICES, INC.
June 16, 2008 - August 15, 2011
BB&T INVESTMENT SERVICES, INC.
March 18, 2003 - November 1, 2007
INVESTORS SECURITY COMPANY, INC.
April 29, 2002 - November 27, 2007
CAPITAL MANAGEMENT SERVICES, INC.
January 3, 2002 - February 18, 2003
INVESTORS SECURITY COMPANY, INC.
December 8, 1998 - January 11, 2000
RIGGS SECURITIES INC.
April 30, 1998 - April 1, 1999
CETERA WEALTH SERVICES, LLC
December 12, 1990 - September 9, 1997
BOWLES HOLLOWELL CONNER & CO.
March 20, 1985 - January 23, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 9, 1982 - March 22, 1985
T. ROWE PRICE INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
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
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 3,745 |
| AUM (Assets Under Management) | $ 1,818,741,357 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
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.
