William Dale Davis Jr
Professional Summary
William Dale Davis JR, who also goes by Bill Davis, Dale Davis Davis Jr, is a registered financial advisor currently at THOMPSON DAVIS & CO., INC. located in Richmond, Virginia. 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 5 firms and has passed the Series 66, Series 65, Series 63, Series 99TO, SIE, Series 7, Series 9, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Bill Davis, Dale Davis Davis Jr
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
Contact Information
xxxxx@xxxx.xxx
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
Years of Experience
36 years in the financial services industry
Current & Past Employments
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
Current Firm
BLOOMBERG SECURITIES, INC. | ZERMATT WEALTH PARTNERS | THOMPSON DAVIS PRIVATE WEALTH MANAGEMENT | THOMPSON DAVIS ASSET MANAGEMENT | THOMPSON DAVIS & CO., INC. | NET SECURITIES CORP.
Contact Information
Main Address
9030 Stony Point Pkwy, Ste 100, Richmond, VA 23235Mailing Address
9030 Stony Point Pkwy, Ste 100, Richmond, VA 23235Phone Number
(804) 644-6380Established
New York since 08/24/1995Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
9SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
FINRA licenses (33 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DAVIS, WILLIAM DALE JR | CEO | 2056775 |
| THALHIMER, ADAM ROBERT | DIRECTOR OF RESEARCH | 4472072 |
| THOMPSON, EDWARD HUNTER JR | CHAIRMAN | 445674 |
| ALTIZER, JUNE ELAINE | CFO/FINOP/PFO/POO | 2114981 |
| DANIEL, MATTHEW HENRY | SR. VICE PRESIDENT | 4258203 |
| WALZ, PEGGY MYERS | CCO | 2996925 |
| JONES, BRANT CHRISTOPHER | INVESTMENT ADVISOR | 5945363 |
Regulatory Assets Under Management
Total Number of Accounts
300AUM (Assets Under Management)
$211,338,163Disclosures
Regulatory Event
2Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
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.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
BLOOMBERG SECURITIES, INC. | ZERMATT WEALTH PARTNERS | THOMPSON DAVIS PRIVATE WEALTH MANAGEMENT | THOMPSON DAVIS ASSET MANAGEMENT | THOMPSON DAVIS & CO., INC. | NET SECURITIES CORP.
State Registrations and Notice Filings
(2/13/2009)
(12/20/2022)
(12/20/2022)
(7/11/2002)
(2/1/2023)
(12/20/2022)
(7/11/2002)
(10/17/2007)
(10/5/2023)
(7/11/2002)
(12/20/2022)
(1/26/2023)
(1/21/2009)
(7/11/2002)
(12/20/2022)
(7/11/2002)
(7/11/2002)
(12/15/2020)
(7/11/2002)
(1/19/2023)
(2/1/2023)
(7/21/2009)
(9/19/2002)
(12/20/2022)
(12/16/2022)
(7/11/2002)
(2/9/2007)
(2/1/2023)
(12/20/2022)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Sep 1998SRO Registrations
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
CRS (Client Relationship Summary) - RIA
Click below to view William Dale Davis JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Dale Davis JR's CRS (Customer Relationship Summary).
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
