William R. Abell
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 Ronald Abell, who also goes by Ron Abell, William Ronal Abell, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1990. William had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2018 - February 5, 2019
CETERA INVESTMENT ADVISERS LLC
September 11, 2018 - February 5, 2019
CETERA INVESTMENT SERVICES LLC
June 25, 2018 - September 11, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
June 22, 2018 - September 11, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
October 2, 2014 - September 11, 2018
INVESTMENT PROFESSIONALS, INC.
October 1, 2014 - September 11, 2018
INVESTMENT PROFESSIONALS, INC.
May 22, 2013 - October 2, 2014
LPL FINANCIAL LLC
May 16, 2013 - October 2, 2014
LPL FINANCIAL LLC
January 24, 2012 - May 17, 2013
OSAIC INSTITUTIONS, INC.
January 11, 2012 - May 17, 2013
OSAIC INSTITUTIONS, INC.
January 11, 2007 - January 5, 2012
TRUIST INVESTMENT SERVICES, INC.
January 9, 2007 - January 5, 2012
TRUIST INVESTMENT SERVICES, INC.
June 9, 2005 - September 9, 2005
CITIGROUP GLOBAL MARKETS INC.
June 8, 2005 - September 9, 2005
CITIGROUP GLOBAL MARKETS INC.
July 30, 1996 - June 15, 2005
TRUIST INVESTMENT SERVICES, INC.
January 4, 1996 - June 15, 2005
TRUIST INVESTMENT SERVICES, INC.
August 10, 1993 - February 22, 1995
NATIONSSECURITIES
May 18, 1991 - July 27, 1993
WACHOVIA SECURITIES, INC.
November 2, 1990 - April 25, 1991
NATIONSBANC SECURITIES OF GEORGIA, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
