William E. Backes
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 Edward Backes, who also goes by Bill Backers, Bill Backes, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1983. William had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 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
October 24, 2016 - October 31, 2019
KESTRA ADVISORY SERVICES, LLC
October 17, 2016 - October 31, 2019
KESTRA INVESTMENT SERVICES, LLC
November 20, 2014 - December 9, 2016
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
July 17, 2014 - October 31, 2016
LPL FINANCIAL LLC
August 1, 2011 - July 17, 2014
NATIONAL PLANNING CORPORATION
July 29, 2011 - July 17, 2014
NATIONAL PLANNING CORPORATION
August 5, 1999 - July 29, 2011
SECURITIES AMERICA ADVISORS, INC.
April 14, 1992 - July 29, 2011
SECURITIES AMERICA, INC.
January 30, 1991 - July 2, 1991
WADDELL & REED
August 12, 1988 - March 16, 1989
LEHMAN BROTHERS INC.
October 26, 1984 - February 1, 1988
LAWSON FINANCIAL CORPORATION
July 29, 1983 - October 15, 1984
J. MILTON NEWTON, INCORPORATED
March 2, 1983 - July 22, 1983
AMERICAN EXPRESS FINANCIAL CORPORATION
March 2, 1983 - July 22, 1983
AMERIPRISE FINANCIAL SERVICES, LLC
March 2, 1983 - July 22, 1983
IDS LIFE INSURANCE COMPANY
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
