William D. Worley
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 David Worley, who also goes by Bill Worley, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1987. William had worked at 8 firms and has passed the Series 63, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2019 - September 4, 2019
INTELLICENTS INVESTMENT SOLUTIONS INC
January 7, 2003 - May 5, 2008
LEO BROKERAGE, LLC
January 19, 2000 - December 31, 2002
MILKIE/FERGUSON INVESTMENTS, INC.
October 30, 1996 - August 30, 2019
RETIREMENT ASSET ADVISORY
November 10, 1994 - December 31, 1996
DOMINION CAPITAL CORPORATION
October 30, 1987 - May 12, 1994
ROBERT W. BAIRD & CO. INCORPORATED
October 30, 1987 - December 16, 1994
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 25, 1987 - November 12, 1987
INVESTORS DISCOUNT BROKERAGE,INC.
Primary Firm SEC Registration
INTELLICENTS INVESTMENT SOLUTIONS INC
CRD#: 107498 / SEC#: 801-51382
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
INTELLICENTS INVESTMENT SOLUTIONS INC
CRD#: 107498 / SEC#: 801-51382
Contact information
SEC notice filing (43 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,103 |
| AUM (Assets Under Management) | $ 7,362,137,726 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/21/2024 |
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.
