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William Freeman Barber

CRD# 12174·Registered 1969 - 2013
Previously Registered: Being a previously registered professional could mean that William 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.

Professional Summary

William Freeman Barber was a registered financial advisor. William was a previously registered financial advisor and started their career in finance 1969 - 2013. William had worked at 14 firms and has passed the Series 66, Series 63, Series 3, Series 1, Series 10, Series 9, Series 4 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

57 years in the financial services industry

Current & Past Employments

BARBER, W. FREEMAN·CRD# 152959
RIA
Mount Pleasant, SC
January 1, 2008 - November 15, 2013
MORGAN KEEGAN & COMPANY, LLC·CRD# 4161
RIA
Wilmington, NC
September 19, 2003 - December 31, 2005
MORGAN KEEGAN & COMPANY, LLC·CRD# 4161
BD
Wilmington, NC
April 30, 2001 - December 31, 2005
CAPTRUST FINANCIAL ADVISORS, LLC·CRD# 41727
BD
Charlotte, NC
January 30, 1997 - August 22, 2001
WACHOVIA SECURITIES, INC.·CRD# 431
BD
Charlotte, NC
August 28, 1990 - July 17, 2001
BANC OF AMERICA INVESTMENT SERVICES, INC.·CRD# 16361
BD
Boston, MA
March 31, 1989 - September 9, 1989
FIRST TRYON SECURITIES, INC.·CRD# 17648
BD
May 19, 1986 - March 31, 1989
FIRST UNION CAPITAL MARKETS CORP.·CRD# 6124
BD
November 19, 1985 - July 2, 1986
ANSPACHER SECURITIES, INC.·CRD# 7377
BD
May 28, 1985 - November 29, 1985
FINANCIAL ASSETS CORPORATION·CRD# 13777
BD
November 16, 1984 - June 10, 1985
THE ROBINSON-HUMPHREY COMPANY, LLC·CRD# 723
BD
October 27, 1982 - June 23, 1983
WACHOVIA SECURITIES, INC.·CRD# 431
BD
October 4, 1977 - September 3, 1981
DEAN WITTER & CO. INCORPORATED·CRD# 6466
BD
December 24, 1975 - November 13, 1977
CONNER, REDWINE INCORPORATED·CRD# 6407
BD
May 16, 1974 - March 2, 1976
DEAN WITTER & CO. INCORPORATED·CRD# 6466
BD
May 16, 1973 - June 17, 1974
DEAN WITTER & CO. INCORPORATED·CRD# 209
BD
October 11, 1972 - May 16, 1973
DOMIK CORP.·CRD# 223
BD
June 17, 1969 - November 10, 1972

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Current Firm

BW
BARBER, W. FREEMAN

BARBER, W. FREEMAN | W. FREEMAN BARBER, SR.

CRD#: 152959

Contact Information

Main Address

Mount Pleasant, SC

Documents

Latest Form ADV

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Dec 2002About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 1982About the Series 63 exam

Series 3 — National Commodity Futures Examination

Passed Nov 1982About the Series 3 exam

Series 1 — Registered Representative Examination

Passed Jun 1969

Series 10 — General Securities Sales Supervisor - General Module Examination

Passed Aug 2001About the Series 10 exam

Series 9 — General Securities Sales Supervisor - Options Module Examination

Passed Aug 2001About the Series 9 exam

Series 4 — Registered Options Principal Examination

Passed May 1992About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Oct 1990About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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