William J. Winters

CETERA INVESTMENT ADVISERS LLC

MILLINGTON, NJ 07946

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CRD#: 1549121

Professional summary

William Joseph Winters is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Millington, New Jersey and CETERA INVESTMENT SERVICES LLC located in Springfield, New Jersey.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. William has worked at 11 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view William Joseph Winters's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 10, 2018 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1902 Long Hill Rd, Millington, NJ 07946Office #2: 223 Mountain Ave, Springfield, NJ 07081

RIA

CRD#: 105644

MILLINGTON, NJ

Current

October 9, 2018 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 223 Mountain Ave, Springfield, NJ 07081

CRD#: 15340

Springfield, NJ

Past

June 6, 2017 - October 11, 2018

SORRENTO PACIFIC FINANCIAL, LLC

RIA

CRD#: 127787

Atlantic City, NJ

Past

June 1, 2017 - October 11, 2018

SORRENTO PACIFIC FINANCIAL, LLC

CRD#: 127787

Atlantic City, NJ

Past

February 24, 2014 - May 30, 2017

SANTANDER SECURITIES LLC

RIA

CRD#: 41791

TOMS RIVER, NJ

Past

September 20, 2012 - May 30, 2017

SANTANDER SECURITIES LLC

CRD#: 41791

TOMS RIVER, NJ

Past

May 27, 2008 - September 19, 2012

LPL FINANCIAL LLC

CRD#: 6413

TOMS RIVER, NJ

Past

October 17, 2006 - May 27, 2008

IFMG SECURITIES, INC.

CRD#: 14416

TOMS RIVER, NJ

Past

August 4, 2003 - August 31, 2006

INVEST FINANCIAL CORPORATION

CRD#: 12984

BRIGANTINE, NJ

Past

December 5, 2001 - August 20, 2003

BNY MELLON SECURITIES LLC

CRD#: 47268

JERSEY CITY, NJ

Past

July 12, 1999 - December 5, 2001

CONSECO SECURITIES, INC.

CRD#: 29367

CARMEL, IN

Past

July 20, 1992 - July 28, 1998

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

July 20, 1992 - July 28, 1998

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New Jersey
(10/9/2018)

IAR

New Jersey
(10/10/2018)

Pennsylvania
(1/2/2019)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/19/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/15/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/17/1992

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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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Firm Stability Insights

William J. Winters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Joseph Winters's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

SORRENTO PACIFIC FINANCIAL, LLC

SORRENTO PACIFIC FINANCIAL, LLC

SANTANDER SECURITIES LLC

SANTANDER SECURITIES LLC

LPL FINANCIAL LLC

IFMG SECURITIES, INC.

INVEST FINANCIAL CORPORATION

BNY MELLON SECURITIES LLC

CONSECO SECURITIES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/19/2014

SIE

Date: 10/1/2018

Series 7

Date: 7/15/2010

Series 6

Date: 7/17/1992

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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