William L. Prince

PRINCE, WILLIAM L

La Jolla, CA

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CRD#: 1656516

Professional summary

William Leonard Prince, CFA is a registered financial advisor currently at PRINCE, WILLIAM L located in La Jolla, California.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. William has worked at 4 firms and has passed the Series 7 exam.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view William Leonard Prince's 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®

CFA

Chartered Financial Analyst

Experience

Current

February 20, 2020 - Present

PRINCE, WILLIAM L

RIA

CRD#: 304072

La Jolla, CA

Past

August 12, 2019 - November 13, 2019

PRINCE, WILLIAM L

RIA

CRD#: 304072

LA JOLLA, CA

Past

December 10, 2013 - September 5, 2019

KCM INVESTMENT ADVISORS

RIA

CRD#: 109629

GREENBRAE, CA

Past

October 12, 1994 - November 8, 1996

GLOBALVEST SECURITIES, (USA), INC

CRD#: 15458

CLEARWATER, FL

Past

October 13, 1989 - March 17, 1992

JEFFERIES LLC

CRD#: 2347

NEW YORK, NY

Past

April 29, 1987 - April 4, 1989

GLOBALVEST SECURITIES, (USA), INC

CRD#: 15458

CLEARWATER, FL

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

California
(2/20/2020)

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

General Industry/Product Exam

Series 7

Date: 10/11/1994

General Securities Representative Examination

Current Firm

PRINCE, WILLIAM L

BENELUX RESEARCH PARTNERS | WILLIAM L. PRINCE | STRATEGIC INCOME ADVISORS | PRINCE, WILLIAM L

CRD#: 304072 / SEC#: 801-116980

RIA

Registered Investment Advisory firm - (11/13/2019 Terminated)

California

Registered Investment Advisory firm - (2/20/2020 Approved)

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).

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Contact information

Main Address

Los Angeles, CA

Mailing Address

Phone number

(310) 927-5381

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	6
AUM (Assets Under Management)	$ 19,605,000

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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William L. Prince

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Leonard Prince's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRINCE, WILLIAM L

PRINCE, WILLIAM L

KCM INVESTMENT ADVISORS

GLOBALVEST SECURITIES, (USA), INC

JEFFERIES LLC

GLOBALVEST SECURITIES, (USA), INC

State Registrations and Notice Filings

Exams

Series 7

Date: 10/11/1994

Current Firm

PRINCE, WILLIAM L

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PRINCE, WILLIAM L

TRUST BUT VERIFY

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