William T. Ring
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 Thomas Ring, who also goes by Bill Ring, Tom Ring, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1983. William had worked at 9 firms and has passed the Series 65, Series 63, 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
January 19, 2016 - April 21, 2021
CAPITAL BANK AND TRUST COMPANY
May 28, 2009 - January 19, 2016
CAPITAL GUARDIAN TRUST COMPANY
October 26, 2000 - May 30, 2003
CAPITAL CLIENT GROUP, INC.
October 1, 1998 - December 31, 1998
BANC OF AMERICA SECURITIES LLC
October 1, 1997 - October 1, 1998
BANCAMERICA SECURITIES, INC.
April 7, 1995 - October 1, 1997
ROBERTSON, STEPHENS & COMPANY LLC
May 19, 1993 - March 6, 1995
WELLS FARGO SECURITIES INC.
May 19, 1989 - December 8, 1989
WELLS FARGO SECURITIES INC.
May 16, 1985 - July 15, 1987
POLLOCK FINANCIAL CORPORATION
June 22, 1983 - March 30, 1984
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
CAPITAL BANK AND TRUST COMPANY
CRD#: 170017 / SEC#: 801-79234
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
CAPITAL BANK AND TRUST COMPANY
CRD#: 170017 / SEC#: 801-79234
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 579 |
| AUM (Assets Under Management) | $ 139,294,588,096 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2024 | ||
| 07/28/2023 | ||
| 10/26/2022 |
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.
