William F. Locke

ADIRONDACK FINANCIAL SERVICES CORP

UTICA, NY 13501

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CRD#: 1574382

Professional summary

William Fox Locke, who also goes by William F Locke, is a registered financial advisor currently at ADIRONDACK FINANCIAL SERVICES CORP located in Utica, New York.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. William has worked at 2 firms and has passed the Series 6 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

William F Locke

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 Fox Locke'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

December 5, 2022 - Present

ADIRONDACK FINANCIAL SERVICES CORP

Office #1: 185 Genesee Street Suite 210, Utica, NY 13501

RIA

CRD#: 126155

UTICA, NY

Past

September 17, 1992 - June 26, 1997

FIS SECURITIES, INC.

CRD#: 30533

BOSTON, 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".

ADIRONDACK FINANCIAL SERVICES CORP

CRD#: 126155 / SEC#: 801-64779

RIA

Registered Investment Advisory firm - (10/3/2005 Approved)

New York

Registered Investment Advisory firm - (10/7/2005 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(12/5/2022)

IAR

Texas
(6/1/2023)

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

General Industry/Product Exam

Series 6

Date: 8/4/1992

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ADIRONDACK FINANCIAL SERVICES CORP

CRD#: 126155 / SEC#: 801-64779

RIA

Registered Investment Advisory firm - (10/3/2005 Approved)

New York

Registered Investment Advisory firm - (10/7/2005 Terminated)

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Contact information

Main Address

185 Genesee Street Suite 210, Utica, NY 13501

Mailing Address

Phone number

(315) 724-4186

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (27 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV, PART 2 BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	868
AUM (Assets Under Management)	$ 411,908,138

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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William F. Locke

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Fox Locke's CRS (Customer Relationship Summary).

Certified licenses

Experience

ADIRONDACK FINANCIAL SERVICES CORP

FIS SECURITIES, INC.

Primary Firm SEC Registration

ADIRONDACK FINANCIAL SERVICES CORP

State Registrations and Notice Filings

Exams

Series 6

Date: 8/4/1992

Current Firm

ADIRONDACK FINANCIAL SERVICES CORP

Contact information

SEC notice filing (27 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ADIRONDACK FINANCIAL SERVICES CORP

TRUST BUT VERIFY

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