William C. Petty
Professional summary
William Calvin Petty III is a registered financial advisor currently at ESTABROOK CAPITAL MANAGEMENT LLC located in New York, New York.
William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. William has worked at 2 firms and has passed the Series 65 and Series 63 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view William Calvin Petty III's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 23, 2008 - Present
ESTABROOK CAPITAL MANAGEMENT LLC
Office #1: 900 Third Avenue Suite 502, New York, NY 10022March 1, 2000 - March 31, 2008
ESTABROOK CAPITAL MANAGEMENT
Primary Firm SEC Registration
ESTABROOK CAPITAL MANAGEMENT LLC
CRD#: 128856 / SEC#: 801-62452
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(10/23/2008)
Exams
Current Firm
ESTABROOK CAPITAL MANAGEMENT LLC
CRD#: 128856 / SEC#: 801-62452
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 771 |
| AUM (Assets Under Management) | $ 873,396,418 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/17/2024 | ||
| 10/18/2023 | ||
| 01/23/2023 |
Red Flags
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