William W. Whisnant
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 Walter Whisnant, who also goes by Bill Whisnant, 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 65, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2018 - March 4, 2019
CETERA INVESTMENT ADVISERS LLC
March 9, 2018 - March 4, 2019
CETERA INVESTMENT SERVICES LLC
February 10, 2016 - July 25, 2017
ARVEST WEALTH MANAGEMENT
February 10, 2016 - July 25, 2017
ARVEST WEALTH MANAGEMENT
March 8, 2009 - February 11, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 4, 2009 - February 11, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 1, 1998 - March 5, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 1, 1998 - March 5, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 15, 1997 - January 1, 1998
NATIONSSECURITIES
June 22, 1996 - December 31, 1996
BOATMEN'S INVESTMENT SERVICES, INC.
November 20, 1995 - October 15, 1997
BOATMEN'S INVESTMENT SERVICES OF ARKANSAS, INC.
December 24, 1992 - December 1, 1995
PRUDENTIAL EQUITY GROUP, LLC
March 25, 1987 - February 27, 1990
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
