William R. Dunnell

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CRD#: 1408610

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 Roger Dunnell, who also goes by Bill Dunnell, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1985. William had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bill Dunnell

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.

(1) BSA TROOP AND CREW 100 BALLARD - BOARD MEMBER of 501(C)(3) ORGANIZATION - 6512 23RD AVE NW, SEATTLE WA 98117 - 09/08/2005 - NOT INVESTMENT RELATED - 0 HOURS DURING TRADING HOURS - 2 HOURS DURING NON-TRADING HOURS; (2) SEATTLE METROPOLITAN READING ROOM - BOARD MEMBER AND FINANCE COMMITTEE CHAIR - 1521 2ND AVE, SEATTLE, WA 98101 - 07/12/2017 - NOT INVESTMENT RELATED - 0 HOURS DURING TRADING HOURS - 2 HOURS DURING NON-TRADING HOURS; (3) 2ND CHURCH CHRIST SCIENTIST, BELLEVUE, WA - CHURCH MEMBER AND MEMBER OF BOARD OF TRUSTEES - 2251 140TH NE, BELLEVUE WA 98005 - 03/02/2007 - NOT INVESTMENT RELATED - 0 HOURS DURING TRADING HOURS - 10 HOURS DURING NON-TRADING HOURS; (4) INDEPENDENT INSURANCE AGENT - LICENSED AGENT - SALES AND SERVICE RELATED TO INSURANCE PRODUCTS, INCLUDING LIFE INSURANCE AND ANNUITIES - 6725 116TH AVENUE, SUITE 150, KIRKLAND, WA 98033 - SINCE 05/2017 - INVESTMENT RELATED - 1 HOURS DURING TRADING HOURS - 4 HOURS DURING NON-TRADING HOURS.

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

April 28, 2022 - January 21, 2025

GREYSTONE FINANCIAL & ESTATE SERVICES, INC.

RIA

CRD#: 318092

KIRKLAND, WA

Past

November 6, 2020 - May 2, 2022

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

KIRKLAND, WA

Past

November 6, 2020 - May 2, 2022

SECURITIES AMERICA, INC.

CRD#: 10205

KIRKLAND, WA

Past

February 7, 1996 - November 6, 2020

KMS FINANCIAL SERVICES, INC.

RIA

CRD#: 3866

SEATTLE, WA

Past

October 9, 1995 - November 6, 2020

KMS FINANCIAL SERVICES, INC.

CRD#: 3866

SEATTLE, WA

Past

July 21, 1994 - October 16, 1995

CONTINENTAL INVESTORS SERVICES, INC.

CRD#: 29775

LONGVIEW, WA

Past

August 4, 1992 - September 9, 1992

INTERPACIFIC INVESTORS SERVICES, INC.

CRD#: 4879

SEATTLE, WA

Past

November 17, 1989 - July 27, 1994

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

January 31, 1989 - August 31, 1989

SPELMAN & CO., INC.

CRD#: 10232

PHOENIX, AZ

Past

September 4, 1987 - February 17, 1989

PFG SECURITIES, INC.

CRD#: 15401

Past

May 12, 1986 - September 21, 1987

INVESTACORP, INC.

CRD#: 7684

Past

October 21, 1985 - May 22, 1986

WADDELL & REED

CRD#: 866

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".

GREYSTONE FINANCIAL & ESTATE SERVICES, INC.

CRD#: 318092 / SEC#: 801-132413

RIA

Registered Investment Advisory firm - (4/14/2025 Approved)

Arizona

Registered Investment Advisory firm - (8/1/2025 Terminated)

Texas

Registered Investment Advisory firm - (8/1/2025 Terminated)

Washington

Registered Investment Advisory firm - (9/1/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

IAR

Series 65

Date: 1/5/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/18/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/20/1987

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/18/1985

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/29/1994

General Securities Principal Examination

Current Firm

GREYSTONE FINANCIAL & ESTATE SERVICES, INC.

CRD#: 318092 / SEC#: 801-132413

RIA

Registered Investment Advisory firm - (4/14/2025 Approved)

Arizona

Registered Investment Advisory firm - (8/1/2025 Terminated)

Texas

Registered Investment Advisory firm - (8/1/2025 Terminated)

Washington

Registered Investment Advisory firm - (9/1/2025 Terminated)

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Contact information

Main Address

6725 116th Avenue Ne Suite 150, Kirkland, WA 98033

Mailing Address

Phone number

(206) 352-9205

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GREYSTONE FIRM BROCHURE (3/14/2025)

Regulatory assets under management

Total Number of Accounts	510
AUM (Assets Under Management)	$ 103,618,051

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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Advisor Monitoring

Firm Stability Insights

William R. Dunnell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

KMS FINANCIAL SERVICES, INC.

KMS FINANCIAL SERVICES, INC.

CONTINENTAL INVESTORS SERVICES, INC.

INTERPACIFIC INVESTORS SERVICES, INC.

DAIN RAUSCHER INCORPORATED

SPELMAN & CO., INC.

PFG SECURITIES, INC.

INVESTACORP, INC.

WADDELL & REED

Primary Firm SEC Registration

GREYSTONE FINANCIAL & ESTATE SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/5/1996

Series 63

Date: 10/18/1985

SIE

Date: 10/1/2018

Series 7

Date: 6/20/1987

Series 6

Date: 10/18/1985

Series 24

Date: 12/29/1994

Current Firm

GREYSTONE FINANCIAL & ESTATE SERVICES, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GREYSTONE FINANCIAL & ESTATE SERVICES, INC.

TRUST BUT VERIFY

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