William D. Buss
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 David Buss, CFP® was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1986. William had worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 6 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2015
Experience
January 19, 2006 - October 25, 2024
HE'E NALU INVESTING, INC.
April 21, 2003 - February 9, 2006
CITIGROUP GLOBAL MARKETS INC.
April 17, 2003 - February 9, 2006
CITIGROUP GLOBAL MARKETS INC.
July 8, 1997 - April 21, 2003
MORGAN STANLEY DW INC.
January 28, 1994 - April 21, 2003
MORGAN STANLEY DW INC.
July 26, 1988 - October 5, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 21, 1986 - October 5, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 22, 1986 - June 21, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 13, 1986 - November 24, 1986
METROPOLITAN LIFE INSURANCE COMPANY
March 13, 1986 - November 25, 1986
MSI FINANCIAL SERVICES, INC.
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
Series 8
Date: 8/1/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HE'E NALU INVESTING, INC.
CRD#: 138278 / SEC#: 801-65098
Contact information
Regulatory assets under management
| Total Number of Accounts | 87 |
| AUM (Assets Under Management) | $ 10,360,000 |
Red Flags
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