William V. Elliott
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 Victor Elliott, who also goes by Bill Elliot, Bill VIctor Elliott, William V Elliott, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1989. William had worked at 9 firms and has passed the Series 7TO, SIE, Series 7, Series 22, Series 6 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
Experience
April 3, 2023 - August 14, 2023
KESTRA INVESTMENT SERVICES, LLC
July 22, 2010 - September 4, 2015
CAPITAL SYNERGY PARTNERS
March 20, 2009 - September 4, 2015
CPS FINANCIAL & INSURANCE SERVICES, INC.
November 16, 2007 - April 10, 2008
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
February 16, 2007 - November 15, 2007
THRIVENT INVESTMENT MANAGEMENT INC.
January 17, 2003 - January 6, 2006
IDS LIFE INSURANCE COMPANY
January 17, 2003 - January 6, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
March 25, 1999 - April 29, 1999
AMERITAS INVESTMENT COMPANY, LLC
October 14, 1996 - October 23, 1997
NYLIFE SECURITIES LLC
June 20, 1989 - January 28, 1992
NYLIFE SECURITIES LLC
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 7TO
Date: 4/3/2023
General Securities Representative ExaminationCurrent Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
