William L. Castetter
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 L Castetter, who also goes by Bill Castetter, William Lee Castetter, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1987. William had worked at 15 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2018 - January 28, 2020
AVANTAX INVESTMENT SERVICES, INC.
March 20, 2018 - January 28, 2020
AVANTAX ADVISORY SERVICES
May 20, 2015 - June 13, 2016
WELLS FARGO CLEARING SERVICES, LLC
April 22, 2015 - June 13, 2016
WELLS FARGO CLEARING SERVICES, LLC
August 25, 2010 - January 20, 2011
CAPITAL BROKERAGE CORPORATION
April 28, 2010 - July 20, 2010
PNC WEALTH MANAGEMENT LLC
April 23, 2010 - July 20, 2010
PNC WEALTH MANAGEMENT LLC
July 30, 2007 - December 18, 2009
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
February 10, 2006 - July 24, 2007
DIRECTED SERVICES LLC
December 1, 2005 - December 20, 2005
FRANKLIN DISTRIBUTORS, LLC
January 14, 2005 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
September 12, 2000 - October 13, 2004
VP DISTRIBUTORS LLC
July 20, 1999 - August 31, 2000
FIRST FUND DISTRIBUTORS, INC.
January 20, 1998 - March 17, 1999
J.P. MORGAN SECURITIES LLC
February 16, 1995 - December 23, 1997
DELAWARE DISTRIBUTORS, L.P.
July 7, 1987 - September 21, 1994
KEMPER FINANCIAL SERVICES, INC.
February 6, 1987 - November 30, 1987
NATCITY INVESTMENTS, INC.
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
AVANTAX INVESTMENT SERVICES, INC.
CRD#: 13686 / SEC#: , 8-29533
Contact information
FINRA licenses (7 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVANTAX WEALTH MANAGEMENT, INC. | SOLE SHAREHOLDER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | GENERAL COUNSEL, SECRETARY | 5059738 |
| HOLWEGER, KIMBERLEY | PRINCIPAL OPERATIONS OFFICER | 1572778 |
| MACKAY, TODD CHRISTOPHER | DIRECTOR AND VICE PRESIDENT | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER | 5769181 |
| NEARY, JOSEPH DANIEL | DIRECTOR AND VICE PRESIDENT | 2993505 |
| WATTS, ANDREW DAVID | PRESIDENT | 4780880 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 4 |
| Bond | 1 |
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.
