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William J. Winters

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CRD#: 1549121
WW
William Joseph Winters

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 Joseph Winters was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1992. William had worked at 11 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.

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)

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

October 10, 2018 - July 24, 2026

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
MILLINGTON, NJ
Past

October 9, 2018 - July 24, 2026

CETERA INVESTMENT SERVICES LLC

BD
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

BD
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

BD
CRD#: 41791
TOMS RIVER, NJ
Past

May 27, 2008 - September 19, 2012

LPL FINANCIAL LLC

BD
CRD#: 6413
TOMS RIVER, NJ
Past

October 17, 2006 - May 27, 2008

IFMG SECURITIES, INC.

BD
CRD#: 14416
TOMS RIVER, NJ
Past

August 4, 2003 - August 31, 2006

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
BRIGANTINE, NJ
Past

December 5, 2001 - August 20, 2003

BNY MELLON SECURITIES LLC

BD
CRD#: 47268
JERSEY CITY, NJ
Past

July 12, 1999 - December 5, 2001

CONSECO SECURITIES, INC.

BD
CRD#: 29367
CARMEL, IN
Past

July 20, 1992 - July 28, 1998

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

July 20, 1992 - July 28, 1998

MSI FINANCIAL SERVICES, INC.

BD
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/19/2014
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/15/2010
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/17/1992
Investment Company Products/Variable Contracts Representative Examination

Current Firm

CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

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 Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644

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