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WW

William R. Wetmore

CETERA INVESTMENT SERVICES LLC
El Segundo, CA 90245
Some features on this profile are disabled
CRD#: 1635437
WW

Professional summary

William Ray Wetmore is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in El Segundo, California and CETERA WEALTH SERVICES, LLC located in El Segundo, California.

William is registered as a RR (Registered Representative) and started their career in finance in 1987. William has worked at 14 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 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) - BD

Click below to view William Ray Wetmore'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

April 13, 2023 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245
BD
CRD#: 15340
El Segundo, CA
Current

April 13, 2023 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245
BD
CRD#: 13572
El Segundo, CA
Current

April 13, 2023 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245
BD
CRD#: 10358
El Segundo, CA
Current

April 13, 2023 - Present

CETERA ADVISORS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245
BD
CRD#: 10299
El Segundo, CA
Past

February 13, 2019 - March 14, 2023

AEGIS CAPITAL CORP.

BD
CRD#: 15007
BOCA RATON, FL
Past

January 31, 2014 - February 12, 2019

COHEN & COMPANY SECURITIES, LLC

BD
CRD#: 149758
BOCA RATON, FL
Past

February 3, 2003 - January 31, 2014

JVB FINANCIAL GROUP, LLC

BD
CRD#: 104412
BOCA RATON, FL
Past

November 10, 2000 - January 31, 2003

VIEWTRADE SECURITIES, INC.

BD
CRD#: 46987
BOCA RATON, FL
Past

February 27, 1998 - November 9, 2000

BARRON CHASE SECURITIES, INC.

BD
CRD#: 18969
BOCA RATON, FL
Past

January 27, 1994 - February 27, 1998

GLOBAL CAPITAL SECURITIES CORPORATION

BD
CRD#: 16184
ENGLEWOOD, CO
Past

January 15, 1993 - January 5, 1994

JOSEPH CHARLES & ASSOC., INC.

BD
CRD#: 3949
BOCA RATON, FL
Past

July 22, 1992 - February 9, 1993

PARAGON CAPITAL MARKETS, INC.

BD
CRD#: 18555
EAST HANOVER, NJ
Past

July 9, 1992 - July 31, 1992

J. GREGORY & COMPANY, INC.

BD
CRD#: 14892
Past

April 29, 1987 - July 29, 1992

J. W. GANT & ASSOCIATES, INC.

BD
CRD#: 7963

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(4/13/2023)
RR
Alaska
(4/13/2023)
RR
Arizona
(4/13/2023)
RR
Arkansas
(4/13/2023)
RR
California
(4/13/2023)
RR
Colorado
(4/13/2023)
RR
Connecticut
(4/13/2023)
RR
Delaware
(4/13/2023)
RR
District of Columbia
(4/13/2023)
RR
Florida
(4/13/2023)
RR
Georgia
(4/13/2023)
RR
Hawaii
(4/13/2023)
RR
Idaho
(4/13/2023)
RR
Illinois
(4/14/2023)
RR
Indiana
(4/13/2023)
RR
Iowa
(4/13/2023)
RR
Kansas
(4/13/2023)
RR
Kentucky
(4/13/2023)
RR
Louisiana
(4/13/2023)
RR
Maine
(4/13/2023)
RR
Maryland
(4/13/2023)
RR
Massachusetts
(4/13/2023)
RR
Michigan
(4/13/2023)
RR
Minnesota
(4/13/2023)
RR
Mississippi
(4/13/2023)
RR
Missouri
(4/13/2023)
RR
Montana
(4/13/2023)
RR
Nebraska
(4/13/2023)
RR
Nevada
(4/13/2023)
RR
New Hampshire
(4/13/2023)
RR
New Jersey
(4/13/2023)
RR
New Mexico
(4/13/2023)
RR
New York
(4/13/2023)
RR
North Carolina
(4/13/2023)
RR
North Dakota
(4/13/2023)
RR
Ohio
(4/14/2023)
RR
Oklahoma
(4/13/2023)
RR
Oregon
(4/13/2023)
RR
Pennsylvania
(4/13/2023)
RR
Puerto Rico
(4/13/2023)
RR
Rhode Island
(4/13/2023)
RR
South Carolina
(4/13/2023)
RR
South Dakota
(4/13/2023)
RR
Tennessee
(4/13/2023)
RR
Texas
(4/13/2023)
RR
Utah
(4/13/2023)
RR
Vermont
(4/13/2023)
RR
Virgin Islands
(4/13/2023)
RR
Virginia
(4/13/2023)
RR
Washington
(4/13/2023)
RR
West Virginia
(4/13/2023)
RR
Wisconsin
(4/13/2023)
RR
Wyoming
(4/13/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 5/8/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/25/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/18/1991
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CA
CETERA ADVISORS LLC
CETERA ADVISORS LLC | MULTI-FINANCIAL SECURITIES CORPORATION | MAGIS FINANCIAL PARTNERS | FIRST ALLIED SECURITIES

CRD#: 10299 / SEC#: 801-33020, 8-26892

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
5299 Dtc Blvd #800 Suite 800, Greenwood Village, IL 80111
Mailing Address
400 First Street South Suite 300, Saint Cloud, MN 56301
Phone number
(800) 929-3485
Established
Delaware since 08/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,138

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

CETERA ADVISORS LLC ADV 2A AND APPENDIX 1 (3/28/2024)

Direct owners and executive officers

NamePositionCRD#
CETERA FINANCIAL GROUP, INC.SOLE MEMBER
ARNOLD, SUMMER SELTZERVICE PRESIDENT2954103
BUCHHEISTER, JEFFREY ROBERTCHIEF FINANCIAL OFFICER4709900
BUDEVICH, SERGEVICE PRESIDENT AND TAX OFFICER7996345
DEL VALLE, ELISA ANNE-MARIEVICE PRESIDENT4807911
DOWELL, RODNEY CAMMERONPRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT7376607
FRIES, MATTHEW NEIL KALANIVICE PRESIDENT2723824
GOK, LISA ANNESECRETARY5059738
HALLORAN, THOMAS WILLIAMCHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER1921834
HOLWEGER, KIMBERLEYCHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER1572778
LEE, WINNIE AI-LINGASSISTANT SECRETARY7381661
MACKAY, TODD CHRISTOPHERMANAGER2799860
MCCALLOP, PATRICIA RUTHERFORDBROKER DEALER CHIEF COMPLIANCE OFFICER5059176
MERRILL, GARRETT JAMESVICE PRESIDENT4306692
MIZUGUCHI, MAURACHIEF ACCOUNTING OFFICER AND TREASURER5769181
NEARY, JOSEPH DANIELMANAGER AND VICE PRESIDENT2993505
RAMOS, RAMONMONEY LAUNDERING REPORTING OFFICER2160203
SMILEY, STANLEY ROBERTVICE PRESIDENT3004604
STINSON, TIMOTHY EARL MCCOYVICE PRESIDENT2272183
VAN HAVERMAAT, DAVID JAMESASSISTANT SECRETARY7042846
VOGEL, RICHARD CHARLESVICE PRESIDENT4024999

Regulatory assets under management

Total Number of Accounts81,652
AUM (Assets Under Management)$ 21,989,347,265

Disclosures

Regulatory Event14
Civil Event1
Arbitration7

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E 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 ADVISORS LLC

CRD#: 10299El Segundo, CA 90245

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