William W. Farley
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 Winfree Farley JR, who also goes by Bill Farley Jr, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1984. William had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 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
January 13, 2021 - July 6, 2021
PHOENIX WEALTH ADVISORS INC.
March 20, 2009 - January 8, 2021
PHOENIX WEALTH ADVISORS INC.
February 10, 1988 - December 31, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 5, 1984 - February 11, 1988
WADDELL JENMAR SECURITIES, INC.
Primary Firm SEC Registration
PHOENIX WEALTH ADVISORS INC.
CRD#: 118412 / SEC#: 801-60793
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
PHOENIX WEALTH ADVISORS INC.
CRD#: 118412 / SEC#: 801-60793
Contact information
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,509 |
| AUM (Assets Under Management) | $ 551,004,269 |
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.
