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WG

William B. Gates

Some features on this profile are disabled
CRD#: 1635137
WG

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 Byron Gates was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1987. William had worked at 11 firms and has passed the Series 66, Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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

November 13, 2009 - January 7, 2020

RAA

RIA
CRD#: 108203
Carrollton, TX
Past

May 25, 2004 - March 28, 2007

FIDELITY PERSONAL TRUST COMPANY, FSB

RIA
CRD#: 109516
WESTLAKE, TX
Past

May 25, 2004 - November 12, 2008

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
WESTLAKE, TX
Past

November 6, 1998 - November 12, 2008

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
WESTLAKE, TX
Past

June 4, 1997 - July 13, 1998

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

January 10, 1992 - June 25, 1997

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI
Past

March 27, 1990 - December 11, 1991

DOMINION CAPITAL CORPORATION

BD
CRD#: 18837
DALLAS, TX
Past

May 22, 1989 - July 20, 1989

J. W. GANT & ASSOCIATES, INC.

BD
CRD#: 7963
Past

May 8, 1989 - May 25, 1989

H.J. MEYERS & CO., INC.

BD
CRD#: 15609
Past

February 17, 1989 - July 20, 1989

J. W. GANT & ASSOCIATES, INC.

BD
CRD#: 7963
Past

February 6, 1989 - February 27, 1989

POWER SECURITIES CORPORATION

BD
CRD#: 15527
Past

June 3, 1988 - March 1, 1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
Past

February 26, 1987 - June 7, 1988

BLINDER, ROBINSON & CO., INC.

BD
CRD#: 5096

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: 5/20/2004
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/24/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/21/1987
General Securities Representative Examination

Current Firm

RA
RAA
MW PRITCHARD HUBBLE & HERR, LLC | RETIREMENT ADVISORS OF AMERICA | RAA | PRITCHARD, HUBBLE & HERR, LLC | PHH INVESTMENTS, LTD.

CRD#: 108203 / SEC#: 801-60003

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Contact information

Main Address
15725 N. Dallas Parkway Suite 220, Addison, TX 75001
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2A DISCLOSURE BROCHURE (3/6/2019)

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

RAA

CRD#: 108203

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