Willard R. Seater
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.
Willard Robert Seater, who also goes by Bill Seater, was a registered financial professional .
Willard is a previously registered financial professional and started their career in finance in 1983. Willard had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2015 - March 7, 2018
LPL FINANCIAL LLC
April 21, 2015 - March 7, 2018
LPL FINANCIAL LLC
July 18, 2012 - June 27, 2014
BB&T INVESTMENT SERVICES, INC.
July 17, 2012 - June 27, 2014
BB&T INVESTMENT SERVICES, INC.
October 20, 2011 - July 19, 2012
INVEST FINANCIAL CORPORATION
October 19, 2011 - July 19, 2012
INVEST FINANCIAL CORPORATION
May 6, 2010 - September 30, 2011
CUSO FINANCIAL SERVICES, L.P.
May 5, 2010 - September 30, 2011
CUSO FINANCIAL SERVICES, L.P.
September 16, 2009 - May 3, 2010
BANCWEST INVESTMENT SERVICES, INC.
September 16, 2009 - May 3, 2010
BANCWEST INVESTMENT SERVICES, INC.
June 8, 2005 - December 31, 2006
JOHN HANCOCK DISTRIBUTORS LLC
May 31, 2005 - April 4, 2008
JOHN HANCOCK DISTRIBUTORS LLC
November 10, 2003 - March 7, 2006
ESSEX NATIONAL SECURITIES, LLC
January 27, 1999 - March 7, 2006
ESSEX NATIONAL SECURITIES, LLC
March 3, 1998 - December 17, 1998
GRIFFIN FINANCIAL SERVICES
February 28, 1997 - March 7, 1998
FIMCO SECURITIES GROUP, INC.
October 25, 1993 - July 9, 1996
WELLS FARGO SECURITIES INC.
June 24, 1992 - October 25, 1993
MARKETING ONE SECURITIES, INC.
November 9, 1983 - August 11, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
November 9, 1983 - August 11, 1992
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
