William G. Droms
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 George Droms, CFA was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1983. William had worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2000 - February 25, 2022
DROMS STRAUSS WEALTH MANAGEMENT
August 23, 1983 - December 31, 1988
CETERA WEALTH SERVICES, LLC
Primary Firm SEC Registration
DROMS STRAUSS WEALTH MANAGEMENT
CRD#: 108620 / SEC#: 801-55207
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
DROMS STRAUSS WEALTH MANAGEMENT
CRD#: 108620 / SEC#: 801-55207
Contact information
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,402 |
| AUM (Assets Under Management) | $ 730,377,719 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/04/2025 | ||
| 10/15/2024 | ||
| 09/27/2023 | ||
| 10/07/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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