William L. Straub
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 Lawrence Straub, who also goes by Bill Straub, William Lawrence Straub III, William Lawrence Straub, William Straub, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2014. William had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2021 - May 25, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
April 27, 2021 - May 25, 2022
FIDELITY BROKERAGE SERVICES LLC
August 28, 2020 - January 19, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 28, 2020 - January 19, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 5, 2018 - August 31, 2020
NAVY FEDERAL INVESTMENT SERVICES, LLC
December 4, 2018 - August 31, 2020
NAVY FEDERAL INVESTMENT SERVICES, LLC
December 15, 2015 - November 29, 2018
FIRST COMMAND ADVISORY SERVICES
July 9, 2015 - December 15, 2015
FIRST COMMAND BROKERAGE SERVICES, INC.
August 18, 2014 - November 29, 2018
FIRST COMMAND BROKERAGE SERVICES, INC.
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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
