William E. Davis
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 E Davis Jr, who also goes by Bill Davis Jr, William E Davis Jr, William Davis, William Earl Davis Jr, William Earl Davis, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1988. William had worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 7, 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
December 17, 2021 - December 21, 2023
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
July 15, 2020 - June 11, 2021
KESTRA INVESTMENT SERVICES, LLC
August 2, 2017 - March 12, 2020
WELLS FARGO CLEARING SERVICES, LLC
September 5, 2013 - July 27, 2016
GOLDMAN SACHS CUSTODY SOLUTIONS
May 12, 2011 - October 10, 2012
XML SECURITIES
February 5, 1999 - June 9, 2011
FIRST CLEARING, LLC
May 27, 1988 - February 5, 1999
FIRST UNION CAPITAL MARKETS CORP.
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
CRD#: 1254 / SEC#: 801-67179, 8-2915
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 2,712 |
| AUM (Assets Under Management) | $ 990,880,713 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2023 |
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.
