William Glenn Downing | Financial Professional

Professional summary

William Glenn Downing was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

William is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, William had worked at 11 firms, which includes REALTA INVESTMENT ADVISORS INC, REALTA EQUITIES INC., J. W. COLE ADVISORS INC., J.W. COLE FINANCIAL INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, WELLS FARGO CLEARING SERVICES LLC, A. G. EDWARDS & SONS INC., MORGAN KEEGAN & COMPANY LLC, UBS FINANCIAL SERVICES INC., ROTAN MOSLE INC., LEHMAN BROTHERS INC..

Question & Answer

Are you a "fiduciary"?

No

Aliases

Bill Downing

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.

The advisor shows no other business activity.

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

September 18, 2017 - March 14, 2018

REALTA INVESTMENT ADVISORS, INC

RIA

CRD#: 134952

Wimberley, TX

Past

August 1, 2017 - March 14, 2018

REALTA EQUITIES, INC.

BD

CRD#: 23769

Wimberley, TX

Past

February 27, 2013 - June 15, 2017

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

WIMBERLEY, TX

Past

December 21, 2012 - June 15, 2017

J.W. COLE FINANCIAL, INC.

BD

CRD#: 124583

WIMBERLEY, TX

Past

January 28, 2010 - August 8, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

AUSTIN, TX

Past

January 22, 2010 - August 8, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD

CRD#: 7691

AUSTIN, TX

Past

January 1, 2008 - February 8, 2010

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

AUSTIN, TX

Past

January 1, 2008 - February 8, 2010

WELLS FARGO CLEARING SERVICES, LLC

BD

CRD#: 19616

AUSTIN, TX

Past

July 17, 2002 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

AUSTIN, TX

Past

December 22, 2000 - January 3, 2008

A. G. EDWARDS & SONS, INC.

BD

CRD#: 4

AUSTIN, TX

Past

April 11, 1995 - January 5, 2001

MORGAN KEEGAN & COMPANY, LLC

BD

CRD#: 4161

MEMPHIS, TN

Past

January 1, 1991 - April 25, 1995

UBS FINANCIAL SERVICES INC.

BD

CRD#: 8174

WEEHAWKEN, NJ

Past

January 16, 1989 - January 1, 1991

ROTAN MOSLE INC.

BD

CRD#: 727

Past

July 23, 1986 - February 7, 1989

LEHMAN BROTHERS INC.

BD

CRD#: 7506

NEW YORK, NY

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".

RI

REALTA INVESTMENT ADVISORS, INC

CRD#: 134952 / SEC#: 801-68000

RIA

Registered Investment Advisory firm - (6/6/2007 Approved)

New Jersey

Registered Investment Advisory firm - (6/11/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/27/2007 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

RR

IAR

Series 66

Date: 5/20/2010

Uniform Combined State Law Examination

State Security Law Exam

RR

Series 63

Date: 7/25/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 3/14/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 3

Date: 8/25/1986

National Commodity Futures Examination

General Industry/Product Exam

RR

Series 7

Date: 7/19/1986

General Securities Representative Examination

Current Firm

RI

REALTA INVESTMENT ADVISORS, INC

CRD#: 134952 / SEC#: 801-68000

RIA

Registered Investment Advisory firm - (6/6/2007 Approved)

New Jersey

Registered Investment Advisory firm - (6/11/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/27/2007 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).

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Contact information

Main Address

1201 N. Orange Street Suite 729, Wilmington, DE 19801

Mailing Address

Phone number

(888) 657-5200

Established

Firm type

Fiscal year end

# of Employees

64

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP BROCHURE 3.21.2025 (3/31/2025)

ADV II 3.21.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,958
AUM (Assets Under Management)	$ 343,465,487

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 G. Downing

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

REALTA INVESTMENT ADVISORS, INC

REALTA EQUITIES, INC.

J. W. COLE ADVISORS, INC.

J.W. COLE FINANCIAL, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

MORGAN KEEGAN & COMPANY, LLC

UBS FINANCIAL SERVICES INC.

ROTAN MOSLE INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

REALTA INVESTMENT ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/20/2010

Series 63

Date: 7/25/1986

SIE

Date: 3/14/2018

Series 3

Date: 8/25/1986

Series 7

Date: 7/19/1986

Current Firm

REALTA INVESTMENT ADVISORS, INC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

REALTA INVESTMENT ADVISORS, INC

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