William E. Embree

EMBREE FINANCIAL GROUP

Chicago, IL 60654

Some features on this profile are disabled

CRD#: 1623427

Professional summary

William Ernster Embree, who also goes by Will Embree, is a registered financial advisor currently at EMBREE FINANCIAL GROUP located in Chicago, Illinois.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. William has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Will Embree

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 Ernster Embree'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

January 29, 2018 - Present

EMBREE FINANCIAL GROUP

Office #1: 440 N Wells St Suite 530, Chicago, IL 60654

RIA

CRD#: 108233

Chicago, IL

Past

December 18, 1998 - September 28, 2017

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

STAMFORD, CT

Past

January 17, 1997 - December 18, 1998

CITICORP SECURITIES, INC.

CRD#: 7474

NEW YORK, NY

Past

November 16, 1988 - March 10, 1989

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

Past

October 19, 1988 - November 5, 1988

MORGAN STANLEY DW INC.

CRD#: 7556

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".

EMBREE FINANCIAL GROUP

EMBREE FINANCIAL GROUP | MOODY INVESTMENT ADVISORS, INC.

CRD#: 108233 / SEC#: 801-63489

RIA

Registered Investment Advisory firm - (9/23/2004 Approved)

Illinois

Registered Investment Advisory firm - (9/23/2004 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

Illinois
(1/29/2018)

IAR

North Carolina
(4/26/2024)

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

IAR

Series 65

Date: 1/29/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/24/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/28/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/13/1997

General Securities Representative Examination

Current Firm

EMBREE FINANCIAL GROUP

EMBREE FINANCIAL GROUP | MOODY INVESTMENT ADVISORS, INC.

CRD#: 108233 / SEC#: 801-63489

RIA

Registered Investment Advisory firm - (9/23/2004 Approved)

Illinois

Registered Investment Advisory firm - (9/23/2004 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

440 N Wells St Suite 530, Chicago, IL 60654

Mailing Address

Phone number

(312) 527-5565

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - EMBREE FINANCIAL GROUP (2/14/2025)

Regulatory assets under management

Total Number of Accounts	2,363
AUM (Assets Under Management)	$ 2,282,297,500

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Michael Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL

Louis Paster

UBS FINANCIAL SERVICES INC.

IAR

Chicago, IL

Jaime Villalobos

WILLIAM BLAIR

IAR

Chicago, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

William E. Embree

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Ernster Embree's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITIGROUP GLOBAL MARKETS INC.

CITICORP SECURITIES, INC.

THE STUART-JAMES COMPANY, INCORPORATED

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

EMBREE FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 1/29/2018

Series 63

Date: 2/24/1997

SIE

Date: 9/28/2017

Series 7

Date: 1/13/1997

Current Firm

EMBREE FINANCIAL GROUP

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EMBREE FINANCIAL GROUP

TRUST BUT VERIFY

Contact information

Similar Advisors