William R. Peelle

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CRD#: 1266569

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 Ravenel Peelle JR, who also goes by William Ravenel Peele Jr, Bill Peelle, Billy Peelle, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1984. William had worked at 5 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

William Ravenel Peele Jr | Bill Peelle | Billy Peelle

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 10, 2010 - September 1, 2022

BRADLEY FOSTER & SARGENT INC

RIA

CRD#: 106928

HARTFORD, CT

Past

June 1, 2009 - November 5, 2010

MORGAN STANLEY

CRD#: 149777

HARTFORD, CT

Past

April 19, 1996 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

HARTFORD, CT

Past

December 2, 1993 - May 3, 1996

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

NEW YORK, NY

Past

July 2, 1986 - December 20, 1993

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

June 21, 1984 - July 8, 1986

MOSELEY SECURITIES CORPORATION

CRD#: 7908

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BRADLEY FOSTER & SARGENT INC

CRD#: 106928 / SEC#: 801-46616

RIA

Registered Investment Advisory firm - (5/31/1994 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/12/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/19/1984

General Securities Representative Examination

Current Firm

BRADLEY FOSTER & SARGENT INC

CRD#: 106928 / SEC#: 801-46616

RIA

Registered Investment Advisory firm - (5/31/1994 Approved)

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Contact information

Main Address

185 Asylum Street City Place Ii 11th Floor, Hartford, CT, 06103-3402

Mailing Address

Phone number

(860) 527-8050

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (39 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BRADLEY, FOSTER & SARGENT (5/13/2025)

Regulatory assets under management

Total Number of Accounts	4,967
AUM (Assets Under Management)	$ 8,593,473,009

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/22/2024	Cover Page	Report
02/02/2024	Cover Page	Report
10/26/2022	Cover Page	Report

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.

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William R. Peelle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BRADLEY FOSTER & SARGENT INC

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

GLEACHER & COMPANY SECURITIES, INC.

CITIGROUP GLOBAL MARKETS INC.

MOSELEY SECURITIES CORPORATION

Primary Firm SEC Registration

BRADLEY FOSTER & SARGENT INC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/12/1984

Series 7

Date: 5/19/1984

Current Firm

BRADLEY FOSTER & SARGENT INC

Contact information

SEC notice filing (39 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BRADLEY FOSTER & SARGENT INC

TRUST BUT VERIFY

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