William E. Holbert
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 Eric Holbert, who also goes by Willian Eric Holbert, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1986. William had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2014 - April 12, 2019
CETERA INVESTMENT ADVISERS LLC
September 21, 2010 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
September 21, 2010 - April 12, 2019
CETERA INVESTMENT SERVICES LLC
November 7, 2008 - September 22, 2010
CUNA BROKERAGE SERVICES, INC.
November 7, 2008 - September 22, 2010
CUNA BROKERAGE SERVICES, INC.
December 15, 2006 - October 31, 2008
NEXT FINANCIAL GROUP, INC.
December 13, 2006 - October 31, 2008
NEXT FINANCIAL GROUP, INC.
June 19, 2006 - December 13, 2006
QUESTAR CAPITAL CORPORATION
November 5, 2001 - June 21, 2006
CUSO FINANCIAL SERVICES, L.P.
May 1, 2001 - June 21, 2006
CUSO FINANCIAL SERVICES, L.P.
December 24, 1992 - May 3, 2001
MOMENTUM INDEPENDENT NETWORK INC.
July 16, 1992 - December 13, 1994
AFFILIATED FINANCIAL SERVICES, INC.
March 19, 1990 - July 13, 1992
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 23, 1986 - April 4, 1990
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
