William A. Washburn
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 Arthur Washburn III, who also goes by Art Washburn III, Art Washburn, Artie Washburn, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1990. William had worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2009 - February 21, 2017
ALPHA OMEGA WEALTH MANAGEMENT, LLC
June 28, 2005 - May 29, 2009
TRUIST INVESTMENT SERVICES, INC.
June 27, 2005 - May 29, 2009
TRUIST INVESTMENT SERVICES, INC.
May 30, 2003 - July 15, 2005
TRUIST SECURITIES, INC.
May 23, 2003 - June 30, 2005
TRUIST SECURITIES, INC.
January 15, 1993 - May 30, 2003
PRUDENTIAL EQUITY GROUP, LLC
February 20, 1992 - May 30, 2003
PRUDENTIAL EQUITY GROUP, LLC
September 10, 1990 - December 9, 1991
IDS LIFE INSURANCE COMPANY
September 10, 1990 - December 9, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
ALPHA OMEGA WEALTH MANAGEMENT, LLC
CRD#: 149842 / SEC#: 801-70136
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
Series 8
Date: 10/5/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ALPHA OMEGA WEALTH MANAGEMENT, LLC
CRD#: 149842 / SEC#: 801-70136
Contact information
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,282 |
| AUM (Assets Under Management) | $ 905,828,765 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/08/2025 | ||
| 07/29/2024 | ||
| 07/31/2023 |
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.
