William F. Powers

LPL ENTERPRISE

Miami, FL 33126

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CRD#: 2045946

Professional summary

William F Powers III, who also goes by William Francis Powers III, William F Powers III, William Powers-iii, Bill Powers, William Powers, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Miami, Florida.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. William has worked at 15 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

William Francis Powers Iii | William F Powers Iii | William Powers-Iii | Bill Powers | William Powers

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) 05/09/2025-1909-Advisory Board Member-Not inv related-At West Palm Beach, FL-Start date 05/05/2025-2hrs/mth-0hrs/mth during trading 2) 08/21/2025-Hoot Home Loans-Senior Loan Officer-Mortgage/Real Estate Services-At Los Angeles, CA-Start date 08/04/2025-hrs/mth-1hrs/mth during trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William F Powers III's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view William F Powers III'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

November 20, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 800 Nw 62nd Ave Ste 120, Miami, FL 33126

RIA

CRD#: 8733

Miami, FL

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 800 Nw 62nd Ave Ste 120, Miami, FL 33126

RIA

CRD#: 8733

Miami, FL

Past

October 4, 2024 - November 12, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Miami, FL

Past

October 2, 2024 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

Miami, FL

Past

January 29, 2021 - September 22, 2023

AEGIS WEALTH MANAGEMENT, INC.

RIA

CRD#: 301990

Wellington, FL

Past

January 16, 2019 - September 1, 2020

INDEPENDENT ADVISOR ALLIANCE, LLC

RIA

CRD#: 168267

Wellington, FL

Past

August 7, 2017 - January 17, 2019

INDEPENDENT FINANCIAL PARTNERS

RIA

CRD#: 125112

Wellington, FL

Past

August 2, 2017 - February 18, 2021

LPL FINANCIAL LLC

CRD#: 6413

WELLINGTON, FL

Past

August 25, 2016 - August 8, 2017

PFS INVESTMENTS INC.

RIA

CRD#: 10111

BOCA RATON, FL

Past

August 8, 2016 - August 8, 2017

PFS INVESTMENTS INC.

CRD#: 10111

BOCA RATON, FL

Past

February 19, 2015 - February 4, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BOCA RATON, FL

Past

February 18, 2015 - February 4, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BOCA RATON, FL

Past

August 13, 2014 - February 19, 2015

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

BOCA RATON, FL

Past

August 12, 2014 - February 19, 2015

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

BOCA RATON, FL

Past

August 9, 2013 - August 13, 2014

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

HUNTINGTON STATION, NY

Past

August 7, 2013 - August 13, 2014

HSBC SECURITIES (USA) INC.

CRD#: 19585

HUNTINGTON STATION, NY

Past

October 29, 2010 - October 8, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SMITHTOWN, NY

Past

October 29, 2010 - October 8, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SMITHTOWN, NY

Past

April 12, 2010 - October 15, 2010

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

COMMACK, NY

Past

April 8, 2010 - October 15, 2010

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

COMMACK, NY

Past

August 18, 2009 - March 3, 2010

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

GARDEN CITY, NY

Past

August 13, 2009 - March 3, 2010

HSBC SECURITIES (USA) INC.

CRD#: 19585

GARDEN CITY, NY

Past

September 19, 2006 - July 7, 2009

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

DEER PARK, NY

Past

September 19, 2006 - July 7, 2009

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

DEER PARK, NY

Past

June 8, 2004 - September 18, 2006

EQUITABLE ADVISORS, LLC

CRD#: 6627

MELVILLE, NY

Past

August 30, 2002 - June 20, 2003

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

December 17, 1999 - April 16, 2002

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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".

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Florida
(11/19/2024)

IAR

Florida
(11/20/2024)

Georgia
(11/14/2024)

New York
(3/11/2025)

Texas
(11/28/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/30/2024

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/26/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/14/1999

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

Delaware since 05/25/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

4,650

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER
HORAN-ADAMS, KIRBY LEPAK	CHIEF EXECUTIVE OFFICER. PRESIDENT	5097259
MALFITANO, STEVEN THOMAS	PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP	3178848
MORRISON, STEVEN PHILIP	SECRETARY	4529345
SHEEHAN, RICHARD STEVEN	SVP, CHIEF COMPLIANCE OFFICER	3096567

Regulatory assets under management

Total Number of Accounts	114,002
AUM (Assets Under Management)	$ 18,862,098,900

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report

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.

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Firm Stability Insights

William F. Powers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William F Powers III's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view William F Powers III's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

AEGIS WEALTH MANAGEMENT, INC.

INDEPENDENT ADVISOR ALLIANCE, LLC

INDEPENDENT FINANCIAL PARTNERS

LPL FINANCIAL LLC

PFS INVESTMENTS INC.

PFS INVESTMENTS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

EQUITABLE ADVISORS, LLC

WELLS FARGO INVESTMENTS, LLC

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/30/2024

Series 7TO

Date: 2/26/2024

SIE

Date: 10/1/2018

Series 7

Date: 12/14/1999

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

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