William L. Conrad
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 Lennon Conrad, who also goes by Bill L Conrad, Bill Conrad, Willam Conrad, William L Conrad, 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 66, Series 63, SIE, Series 7, Series 6, Series 4, Series 53, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 2015 - February 17, 2016
U.S. BANCORP ADVISORS, LLC
December 17, 2015 - February 17, 2016
U.S. BANCORP ADVISORS, LLC
December 11, 2013 - December 2, 2015
CETERA WEALTH SERVICES, LLC
December 5, 2013 - December 2, 2015
CETERA WEALTH SERVICES, LLC
December 13, 2004 - January 19, 2012
WESCOM FINANCIAL SERVICES
March 3, 2004 - November 29, 2004
U.S. BANCORP ADVISORS, LLC
March 3, 2004 - November 29, 2004
U.S. BANCORP ADVISORS, LLC
July 10, 2001 - December 11, 2003
LPL FINANCIAL LLC
September 26, 2000 - December 11, 2003
LPL FINANCIAL LLC
April 7, 2000 - October 25, 2000
CETERA WEALTH SERVICES, LLC
December 22, 1999 - April 5, 2000
GUARANTY BROKERAGE SERVICES, INC.
September 11, 1997 - November 24, 1999
GUARANTY BROKERAGE SERVICES, INC.
August 20, 1996 - September 12, 1996
LINCOLN FINANCIAL DISTRIBUTORS, INC.
March 22, 1996 - May 30, 1996
WM FUND SERVICES, INC.
August 28, 1989 - March 18, 1996
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
June 10, 1983 - January 13, 1984
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
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
U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP | SOLE MEMBER | |
| BEJASA, EILEEN | SENIOR VICE PRESIDENT AND MANAGING DIRECTOR, BROKER-DEALER OPERATIONS | 7002808 |
| CANEVA, DANIEL CESAR | SVP CHIEF OPERATIONS OFFICER | 1686099 |
| CLARK, SHANNON KEITH | CHIEF FINANCIAL OFFICER | 5829700 |
| ELY, JAMES EUGENE JR. | SENIOR VICE PRESIDENT - SALES | 1843373 |
| FERGUSON, KIMBERLY NICOLE | CHIEF EXECUTIVE OFFICER AND MANAGER | 4120145 |
| LAWLOR, BETH DEDRICK | EXECUTIVE VICE PRESIDENT | 5352662 |
| ROLLAND, JODI THOMPSON | MANAGER | 2290884 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER | 5025315 |
| TRIPLETT, SHANE T | INSTITUTIONAL SALES MANAGER | 1865319 |
Regulatory assets under management
| Total Number of Accounts | 3,905 |
| AUM (Assets Under Management) | $ 1,516,483,817 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/19/2025 | ||
| 08/20/2024 | ||
| 11/28/2023 | ||
| 11/21/2023 |
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.
