William D. Black
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 D Black, who also goes by Bill Black, William Douglas Black, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1989. William had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 2016 - March 31, 2025
CITY NATIONAL ROCHDALE
March 17, 2016 - March 31, 2025
CNR SECURITIES, LLC
June 1, 2010 - February 3, 2015
INVESCO DISTRIBUTORS, INC.
June 18, 1998 - June 1, 2010
INVESCO CAPITAL MARKETS, INC.
May 1, 1998 - June 9, 1998
NATCITY INVESTMENTS, INC.
April 16, 1997 - March 19, 1998
FIRST OF AMERICA SECURITIES, INC.
October 21, 1994 - January 20, 1997
PIERCE & COMPANY L.P.
August 24, 1992 - May 16, 1994
WELLS FARGO CLEARING SERVICES, LLC
October 16, 1989 - August 11, 1992
CLAYTON BROWN & ASSOCIATES, INC.
Primary Firm SEC Registration
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
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
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,300 |
| AUM (Assets Under Management) | $ 68,177,828,012 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
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.
