William E. Durand
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 Edwin Durand, who also goes by William Edwin Durand Cfp, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1984. William had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 22, Series 6 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
November 14, 2012 - October 28, 2024
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
December 8, 2003 - October 28, 2024
CAMBRIDGE INVESTMENT RESEARCH, INC.
August 1, 2003 - December 10, 2003
WALNUT STREET SECURITIES, INC.
August 1, 2003 - December 10, 2003
WALNUT STREET SECURITIES, INC.
September 19, 1996 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
January 3, 1995 - February 26, 2013
FINANCIAL CONTROL SERVICES
November 30, 1988 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
June 10, 1985 - December 13, 1988
LEHMAN BROTHERS INC.
March 13, 1984 - May 23, 1985
NATHAN & LEWIS SECURITIES, INC.
January 25, 1984 - April 5, 1984
WS GRIFFITH SECURITIES, INC.
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
