William C. Heiser
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 Charles Heiser, who also goes by Bill Heiser, 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 7 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
January 19, 2012 - March 20, 2015
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 18, 2012 - March 20, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 1, 2011 - July 16, 2012
ADDISON AVENUE FINANCIAL PARTNERS, LLC
June 2, 2011 - January 25, 2012
ESSEX NATIONAL SECURITIES, LLC
May 17, 2011 - January 25, 2012
ESSEX NATIONAL SECURITIES, LLC
December 13, 2007 - June 26, 2008
ESSEX NATIONAL SECURITIES, LLC
November 29, 2006 - April 9, 2007
ESSEX NATIONAL SECURITIES, LLC
March 29, 2004 - April 23, 2008
ADDISON AVENUE FINANCIAL PARTNERS, LLC
July 13, 2001 - November 29, 2006
CUSO FINANCIAL SERVICES, L.P.
March 4, 1999 - November 29, 2006
CUSO FINANCIAL SERVICES, L.P.
May 1, 1998 - February 8, 1999
WAMU INVESTMENTS, INC.
January 23, 1997 - May 1, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
December 19, 1996 - January 16, 1997
CAPITAL BROKERAGE CORPORATION
June 26, 1995 - December 4, 1996
CETERA WEALTH SERVICES, LLC
March 1, 1995 - June 5, 1995
GLENFED BROKERAGE SERVICES
June 20, 1990 - March 27, 1995
DFC INVESTOR SERVICES
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
