William H. Chenoweth
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 Harwick Chenoweth, 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 6 firms and has passed the Series 63, Series 65, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2012
Experience
July 26, 2012 - December 23, 2013
CREDIT SUISSE SECURITIES (USA) LLC
July 9, 2012 - December 23, 2013
CREDIT SUISSE SECURITIES (USA) LLC
March 18, 2008 - July 20, 2012
HOKANSON ASSOCIATES, INC.
July 28, 1998 - October 15, 2003
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC
June 19, 1998 - October 15, 2003
NICHOLAS-APPLEGATE SECURITIES LLC
February 1, 1996 - May 29, 1998
SEI INVESTMENTS DISTRIBUTION CO.
November 6, 1984 - November 23, 1993
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
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
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 322 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
