William B. Evans
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 B Evans, who also goes by W Barrett Evans, W. B Evans, W Evans, William Barrett Evans, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1993. William had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 2021 - March 13, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
June 16, 2021 - March 13, 2024
FIDELITY BROKERAGE SERVICES LLC
February 27, 2018 - January 11, 2021
TD AMERITRADE, INC.
February 26, 2018 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - January 11, 2021
TD AMERITRADE, INC.
January 25, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
November 28, 2014 - February 26, 2018
SCOTTRADE, INC.
January 27, 2011 - January 10, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 12, 2010 - January 10, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 8, 2010 - July 8, 2010
LINSCOMB WEALTH, INC.
November 10, 2000 - July 14, 2005
CENTURY MANAGEMENT FINANCIAL ADVISORS
November 28, 1995 - March 31, 1998
CHARLES SCHWAB & CO., INC.
April 2, 1993 - July 11, 1995
UBS FINANCIAL 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.
