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William T. Puplava

FINANCIAL SENSE ADVISORS
Scottsdale, AZ
Some features on this profile are disabled
CRD#: 2027125
WP

Professional summary

William Terry Puplava is a registered financial advisor currently at FINANCIAL SENSE ADVISORS, INC. located in Scottsdale, Arizona and FINANCIAL SENSE SECURITIES, INC. located in San Diego, California.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. William has worked at 3 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 24, Series 53 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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.
1. 11/03/03 - APPOINTED TTEE FOR THE WILLIAM T. PUPLAVA FAMILY TRUST.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Terry Puplava's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

August 23, 2017 - Present

FINANCIAL SENSE ADVISORS, INC.

RIA
CRD#: 111090
Scottsdale, AZ
Current

August 23, 2017 - Present

FINANCIAL SENSE SECURITIES, INC.

Office #1: 10920 Via Frontera Suite 500, San Diego, CA 92127
BD
CRD#: 39301
SAN DIEGO, CA
Past

February 1, 2002 - September 1, 2017

LPL FINANCIAL LLC

RIA
CRD#: 6413
PHOENIX, AZ
Past

January 22, 2002 - September 1, 2017

LPL FINANCIAL LLC

BD
CRD#: 6413
PHOENIX, AZ
Past

September 6, 1996 - April 16, 2002

FINANCIAL SENSE SECURITIES, INC.

BD
CRD#: 39301
SAN DIEGO, CA
Past

January 23, 1990 - October 9, 1996

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FS
FINANCIAL SENSE ADVISORS, INC.
FINANCIAL SENSE ADVISORS, INC. | PUPLAVA FINANCIAL SERVICES INC | FINANCIAL SENSE WEALTH MANAGEMENT

CRD#: 111090 / SEC#: 801-25937

RIA
Registered Investment Advisory firm - (12/31/1985 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(8/23/2017)
IAR
Arizona
(12/19/2024)
RR
California
(8/23/2017)
IAR
California
(8/23/2017)
RR
Hawaii
(8/23/2017)
RR
Minnesota
(8/23/2017)
RR
Montana
(5/15/2018)
IAR
Montana
(5/16/2018)
RR
Nevada
(2/26/2024)
RR
New Mexico
(8/23/2017)
RR
Oregon
(8/24/2017)
RR
South Carolina
(8/23/2017)
RR
Texas
(8/23/2017)
IAR
Texas
(8/23/2017)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/9/2018
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/10/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/20/1990
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/25/2001
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 9/5/1996
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 11/3/1995
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FINANCIAL SENSE ADVISORS, INC.
FINANCIAL SENSE ADVISORS, INC. | PUPLAVA FINANCIAL SERVICES INC | FINANCIAL SENSE WEALTH MANAGEMENT

CRD#: 111090 / SEC#: 801-25937

RIA
Registered Investment Advisory firm - (12/31/1985 Approved)
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Contact information

Main Address
10809 Thornmint Road 2nd Floor, San Diego, CA 92127
Mailing Address
Phone number
(858) 487-3939
Established
Firm type
Fiscal year end
# of Employees
13

SEC notice filing (37 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FINANCIAL SENSE ADVISORS, INC MAP BROCHURE (3/31/2025)
FINANCIAL SENSE ADVISORS, INC. BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts1,104
AUM (Assets Under Management)$ 681,412,925

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

FINANCIAL SENSE ADVISORS, INC.

CRD#: 111090Scottsdale, AZ

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Contact information

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