William J. Conn
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT
Oakland, CA 94602
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CRD#: 1477107
Professional summary
William Joseph Conn, CFP®, who also goes by Bill Conn, is a registered financial advisor currently at INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC located in Oakland, California.
William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. William has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bill Conn
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) WILLIAM CONN 4715 PARK AVENUE, UNIT 4, OAKLAND, CA 94602 - RESIDENTIAL RENTAL PROPERTY - CO-OWNER SINCE 1/2021 - APPROX 2 HRS/MO - RENTAL INCOME 2) INTERNATIONAL ASSETS INVESTMENT MANAGEMENT LLC 111 N. ORANGE AVE, STE 1000, ORLANDO, FL 32801 - RIA AFFILIATE OF INTERNATIONAL ASSETS ADVISORS - ADVISOR SINCE 9/2022 - APPROX 200 HRS/MO - FEE BASED COMPENSATION 3) W.J. CONN CAPITAL CORP. 2021 FILLMORE STREET, SUITE 291, SAN FRANCISCO, CA 94115 - PRIVATE LABEL ENTITY FOR FINANCIAL BUSINESS - MANAGING DIRECTOR SINCE 9/2022 - APPROX 200 HRS/MO - COMMISSIONS/FEES 4) WILLIAM J CONN SUCCESSOR TTEE - 2265 BROADWAY STREET, #4, SAN FRANCISCO, CA 94115 - SUCCESSOR TTEE TO FATHERS TRUST - APPROX 5 HRS/MO - NO COMPENSATION
CRS (Client Relationship Summary) - RIA
Click below to view William Joseph Conn's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2003
Experience
Current
September 9, 2022 - Present
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
Office #1: 4715 Park Blvd. Suite 4, Oakland, CA 94602RIA
CRD#: 144426
Oakland, CA
Past
September 13, 2022 - October 9, 2023
INTERNATIONAL ASSETS ADVISORY, LLC
BD
CRD#: 10645
SAN FRANCISCO, CA
Past
May 3, 2018 - August 5, 2022
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
San Francisco, CA
Past
May 3, 2018 - August 5, 2022
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
San Francisco, CA
Past
March 29, 2012 - May 8, 2018
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
SAN FRANCISCO, CA
Past
March 28, 2012 - May 8, 2018
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
SAN FRANCISCO, CA
Past
June 18, 2001 - April 27, 2012
DEUTSCHE BANK SECURITIES INC.
RIA
CRD#: 2525
SAN FRANCISCO, CA
Past
January 13, 2001 - April 27, 2012
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
SAN FRANCISCO, CA
Past
January 26, 2000 - January 13, 2001
DB ALEX. BROWN LLC
BD
CRD#: 17790
BALTIMORE, MD
Past
September 17, 1993 - January 27, 2000
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
June 12, 1989 - September 22, 1993
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
August 19, 1986 - July 13, 1989
GLIKSMAN SECURITIES CORP.
BD
CRD#: 8225
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".
IA
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
A. JOSEPH MARGOLIS LLC | WOODS ASSOCIATES | WINN PARTNERS FINANCIAL GROUP | W.J. CONN CAPITAL | VITAL GUIDANCE INC. | VERMONT WEALTH MANAGEMENT | UNITED WEALTH MANAGEMENT | TOUSSAINT FINANCIAL | THE FINANCIAL NETWORK | T. SPENCER SAMUELS INSURANCE & FINANCIAL SVCS. | SULLIVAN WEALTH STRATEGIES | STERLING NOBLE WEALTH MANAGEMENT | STEED WEALTH MANAGEMENT, LLC | SPENCER SAMUELS INSURANCE & FINANCIAL SERVICES | SHILLIN WEALTH MANAGEMENT | SEASIDE WEALTH MANAGEMENT, LLC | ROCKPORT GLOBAL LLC | ROCKBRIDGE WEALTH MANAGEMENT | RISING SUN WEALTH MANAGEMENT | RICH WEALTH MANAGEMENT | REVOLUTION ADVISOR, LLC | RAPPAPORT WEALTH MANAGEMENT | RAND GROUP FINANCIAL | POTOCSNY FINANCIAL GROUP | PORTER-RAY GROUP | PLATINUM INVESTMENTS, LLC | PATHLIGHT INVESTING | O'NEIL WEALTH SERVICES, LLC | NOLA FINANCIAL WEALTH MANAGEMENT | NICHOLS FINANCIAL GROUP, INC | NELSON FINANCIAL SERVICES | MOUNTAIN PEAK FINANCIAL SOLUTIONS | MONARCH RETIREMENT | MONARCH ADVISORY SERVICES FINANCIAL, LLC | MIDWEST FINANCIAL MANAGEMENT | MCW WEALTH MANAGEMENT | MADDOX INVESTMENT SERVICES | MACEDON FINANCIAL MANAGEMENT, LLC | LR VASSALLO & ASSOC | LOYAL TRUST PRIVATE WEALTH | LINDBLOOM INVESTMENT SERVICES, LLC | LEGACY PARK WEALTH | KNAPP FINANCIAL GROUP LLC | KEYARX GROUP | JANSEN WEALTH MANAGEMENT, LLC | JAMES E. BASHAW & CO | JAG SHORE ENTERPRISES | INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | INTEGRAL WEALTH PLANNING, LLC | INTEGRAL WEALTH PLANNING LLC | INSIGHT PRIVATE WEALTH | IAA WEALTH MANAGEMENT | HUSTAD WEALTH MANAGEMENT | HELIOS CAPITAL ADVISORS, LLC | HARRISON FINANCIAL MANAGEMENT, LLC | HALL WEALTH ADVISORS | GULF COAST WEALTH ADVISORS | GRANITE WEALTH MANAGEMENT | GPS WEALTH MANAGEMENT | GOLD LEAF INVESTMENTS | GLOBULL INVESTMENTS | G2 RAMPART CONSULTING, LLC | FYLLING WEALTH MANAGEMENT, LLC | FULCRUM PONT FIXED INCOME GROUP | FINANCIAL ADVANTAGE WEALTH MANAGEMENT | FFS ADVISORY | EPSTEIN & KOLACZ WEALTH MANAGEMENT | EMPOWER BROKERAGE INC. | ELEVATE PRIVATE WEALTH GROUP, LLC | ECL PRIVATE WEALTH MANAGEMENT | DPR WEALTH MANAGEMENT | DIXON FINANCIAL PARTNERS | DENISON FINANCIAL | DANTAS ADVISORY | CONFIDENT TRUST FINANCIAL GROUP | CHOICE FINANCIAL SERVICES | C A ROSS WEALTH MANAGEMENT GROUP | BYRER WEALTH MANAGEMENT, LLC | BUTCHER FINANCIAL, LLC | BURGESSER WEALTH MANAGEMENT, INC | BRIN FINANCIAL | BOURQUE WEALTH SOLUTIONS, LLC | BLACOR USA | BECKERMAN & ASSOCIATES, LLC | ATX FINANCIAL | ATLANTIC WEALTH MANAGEMENT, INC. | ARTHUR MORRIS LIFESTYLE WEALTH MANAGEMENT, LLC | ARROW ADVISORS | AMERICAN RETIREMENT SOLUTIONS OF GEORGIA | AINE PRIVATE WEALTH, LLC | AFACAN WEALTH MANAGEMENT
CRD#: 144426 / SEC#: 801-68114
RIA
Registered Investment Advisory firm - (7/5/2007 Approved)New Jersey
Registered Investment Advisory firm - (9/7/2010 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(9/9/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
IA
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
A. JOSEPH MARGOLIS LLC | WOODS ASSOCIATES | WINN PARTNERS FINANCIAL GROUP | W.J. CONN CAPITAL | VITAL GUIDANCE INC. | VERMONT WEALTH MANAGEMENT | UNITED WEALTH MANAGEMENT | TOUSSAINT FINANCIAL | THE FINANCIAL NETWORK | T. SPENCER SAMUELS INSURANCE & FINANCIAL SVCS. | SULLIVAN WEALTH STRATEGIES | STERLING NOBLE WEALTH MANAGEMENT | STEED WEALTH MANAGEMENT, LLC | SPENCER SAMUELS INSURANCE & FINANCIAL SERVICES | SHILLIN WEALTH MANAGEMENT | SEASIDE WEALTH MANAGEMENT, LLC | ROCKPORT GLOBAL LLC | ROCKBRIDGE WEALTH MANAGEMENT | RISING SUN WEALTH MANAGEMENT | RICH WEALTH MANAGEMENT | REVOLUTION ADVISOR, LLC | RAPPAPORT WEALTH MANAGEMENT | RAND GROUP FINANCIAL | POTOCSNY FINANCIAL GROUP | PORTER-RAY GROUP | PLATINUM INVESTMENTS, LLC | PATHLIGHT INVESTING | O'NEIL WEALTH SERVICES, LLC | NOLA FINANCIAL WEALTH MANAGEMENT | NICHOLS FINANCIAL GROUP, INC | NELSON FINANCIAL SERVICES | MOUNTAIN PEAK FINANCIAL SOLUTIONS | MONARCH RETIREMENT | MONARCH ADVISORY SERVICES FINANCIAL, LLC | MIDWEST FINANCIAL MANAGEMENT | MCW WEALTH MANAGEMENT | MADDOX INVESTMENT SERVICES | MACEDON FINANCIAL MANAGEMENT, LLC | LR VASSALLO & ASSOC | LOYAL TRUST PRIVATE WEALTH | LINDBLOOM INVESTMENT SERVICES, LLC | LEGACY PARK WEALTH | KNAPP FINANCIAL GROUP LLC | KEYARX GROUP | JANSEN WEALTH MANAGEMENT, LLC | JAMES E. BASHAW & CO | JAG SHORE ENTERPRISES | INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | INTEGRAL WEALTH PLANNING, LLC | INTEGRAL WEALTH PLANNING LLC | INSIGHT PRIVATE WEALTH | IAA WEALTH MANAGEMENT | HUSTAD WEALTH MANAGEMENT | HELIOS CAPITAL ADVISORS, LLC | HARRISON FINANCIAL MANAGEMENT, LLC | HALL WEALTH ADVISORS | GULF COAST WEALTH ADVISORS | GRANITE WEALTH MANAGEMENT | GPS WEALTH MANAGEMENT | GOLD LEAF INVESTMENTS | GLOBULL INVESTMENTS | G2 RAMPART CONSULTING, LLC | FYLLING WEALTH MANAGEMENT, LLC | FULCRUM PONT FIXED INCOME GROUP | FINANCIAL ADVANTAGE WEALTH MANAGEMENT | FFS ADVISORY | EPSTEIN & KOLACZ WEALTH MANAGEMENT | EMPOWER BROKERAGE INC. | ELEVATE PRIVATE WEALTH GROUP, LLC | ECL PRIVATE WEALTH MANAGEMENT | DPR WEALTH MANAGEMENT | DIXON FINANCIAL PARTNERS | DENISON FINANCIAL | DANTAS ADVISORY | CONFIDENT TRUST FINANCIAL GROUP | CHOICE FINANCIAL SERVICES | C A ROSS WEALTH MANAGEMENT GROUP | BYRER WEALTH MANAGEMENT, LLC | BUTCHER FINANCIAL, LLC | BURGESSER WEALTH MANAGEMENT, INC | BRIN FINANCIAL | BOURQUE WEALTH SOLUTIONS, LLC | BLACOR USA | BECKERMAN & ASSOCIATES, LLC | ATX FINANCIAL | ATLANTIC WEALTH MANAGEMENT, INC. | ARTHUR MORRIS LIFESTYLE WEALTH MANAGEMENT, LLC | ARROW ADVISORS | AMERICAN RETIREMENT SOLUTIONS OF GEORGIA | AINE PRIVATE WEALTH, LLC | AFACAN WEALTH MANAGEMENT
CRD#: 144426 / SEC#: 801-68114
RIA
Registered Investment Advisory firm - (7/5/2007 Approved)New Jersey
Registered Investment Advisory firm - (9/7/2010 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
111 North Orange Avenue Suite 1000, Orlando, FL 32801
Mailing Address
Phone number
(407) 254-1500
Established
Firm type
Fiscal year end
# of Employees
128
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,359 |
| AUM (Assets Under Management) | $ 2,212,521,886 |
Red Flags
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Company Information
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
CRD#: 144426Oakland, CA 94602TRUST BUT VERIFY
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