William M. Guthrie
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 Michael Guthrie, CFP®, who also goes by Bill Guthrie, William M. Guthrie, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1988. William had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1994
Experience
January 26, 2021 - December 2, 2021
AE WEALTH MANAGEMENT, LLC
January 29, 2014 - February 17, 2017
CETERA INVESTMENT SERVICES LLC
July 10, 2013 - December 10, 2013
OBS BROKERAGE SERVICES, INC.
January 14, 2013 - March 13, 2017
NORTHWEST ADVISORS, INC.
April 30, 2003 - January 30, 2007
NATCITY INVESTMENTS, INC.
April 28, 2003 - January 30, 2007
NATCITY INVESTMENTS, INC.
April 10, 2002 - August 21, 2002
AMERICAN GENERAL SECURITIES INCORPORATED
August 4, 1997 - April 8, 1999
BNY MELLON SECURITIES CORPORATION
April 5, 1995 - August 7, 1997
NATIONAL PLANNING CORPORATION
April 11, 1992 - April 5, 1993
A. G. EDWARDS & SONS, INC.
January 31, 1992 - April 21, 1992
GUARDIAN INVESTOR SERVICES LLC
April 21, 1989 - November 6, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
April 21, 1989 - November 6, 1991
PRUCO SECURITIES, LLC.
May 23, 1988 - April 6, 1989
METROPOLITAN LIFE INSURANCE COMPANY
May 23, 1988 - April 6, 1989
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
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
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,059 |
| AUM (Assets Under Management) | $ 37,525,706,084 |
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.
