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William W. Pierce

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CRD#: 1940989
WP

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 Warren Pierce, who also goes by Bill Pierce, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1989. William had worked at 6 firms and has passed the Series 63, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bill Pierce

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 15, 2012 - December 31, 2012

EQUILIBRIUM CAPITAL SERVICES, LLC

BD
CRD#: 155530
EVANSTON, IL
Past

January 8, 2008 - August 4, 2014

ACCESSALPHA WORLDWIDE LLC

BD
CRD#: 142279
EVANSTON, IL
Past

January 13, 2003 - November 26, 2007

WILLIAM BLAIR

BD
CRD#: 1252
CHICAGO, IL
Past

January 25, 1999 - December 3, 2002

FAM DISTRIBUTORS, INC.

BD
CRD#: 4100
NEW YORK, NY
Past

June 15, 1998 - July 9, 1998

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
CHICAGO, IL
Past

April 19, 1989 - April 6, 1993

SEI INVESTMENTS DISTRIBUTION CO.

BD
CRD#: 10690
OAKS, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/9/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/10/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/6/2009
General Securities Principal Examination

Current Firm

EC
EQUILIBRIUM CAPITAL SERVICES, LLC
EQUILIBRIUM CAPITAL SERVICES, LLC

CRD#: 155530 / SEC#: , 8-68722

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
411 Nw Park Ave, Suite 401, Portland, OR 97209
Mailing Address
411 Nw Park Ave, Suite 401, Portland, OR 97209
Phone number
(971) 352-8440
Established
Oregon since 10/05/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
EQUILIBRIUM CAPITAL GROUP, LLCPARENT
HOLT, THEODORE DONALDPRESIDENT, CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER7307925
MOYE, CELESTE WILLATFINOP & CFO6566618

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.

Company Information

EQUILIBRIUM CAPITAL SERVICES, LLC

CRD#: 155530

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