William J. Huston
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 John Huston was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1988. William had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 53, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2014 - January 26, 2015
CAPE INVESTMENT ADVISORY, INC.
January 6, 2014 - January 26, 2015
CAPE SECURITIES INC.
October 17, 2011 - September 5, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
October 14, 2011 - September 5, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
November 1, 2010 - December 16, 2010
FSC SECURITIES CORPORATION
September 1, 2010 - December 16, 2010
FSC SECURITIES CORPORATION
September 30, 2008 - August 5, 2009
EDWARD JONES
September 26, 2008 - August 5, 2009
EDWARD JONES
January 1, 2008 - August 14, 2008
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - August 14, 2008
WELLS FARGO CLEARING SERVICES, LLC
April 7, 2003 - January 1, 2008
A. G. EDWARDS & SONS, INC.
August 13, 2001 - January 3, 2008
A. G. EDWARDS & SONS, INC.
March 9, 1998 - August 13, 2001
DEMPSEY FINANCIAL NETWORK, INC.
February 13, 1998 - March 9, 1998
DEMPSEY FINANCIAL NETWORK, INC.
January 28, 1995 - March 4, 1998
UBS FINANCIAL SERVICES INC.
March 31, 1992 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
December 20, 1988 - March 23, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CAPE INVESTMENT ADVISORY, INC.
CRD#: 146384 / SEC#: 801-71349
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
Series 8
Date: 4/23/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CAPE INVESTMENT ADVISORY, INC.
CRD#: 146384 / SEC#: 801-71349
Contact information
SEC notice filing (39 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,769 |
| AUM (Assets Under Management) | $ 402,413,992 |
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.
