WB
William E. Breagy
CREATIVE FINANCIAL DESIGNS
Florence, KY 41042
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CRD#: 2260295
WB
Professional summary
William Edward Breagy III, who also goes by Bill Breagy III, William Edward III Breagy, is a registered financial advisor currently at CREATIVE FINANCIAL DESIGNS, INC. located in Florence, Kentucky and CFD INVESTMENTS, INC. located in Florence, Kentucky.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. William has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bill Breagy Iii | William Edward Iii Breagy
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) INDEPENDENT INSURANCE SALES. 5 HRS/MONTH-3805 Edwards Road, Cincinnati, OH 45209 and 7426 US Highway 42, Suite 208, Florence, KY 41042-Investment related-Insurance agent-Start Date-1992 2) CREATIVE FINANCIAL DESIGNS, INC. 2704 S GOYER RD, KOKOMO, IN 46902. INVESTMENT ADVISER REPRESENTATIVE-Start Date 7/2/2002-Investment related-Approx 160/mo-3805 Edwards Road, Cincinnati, OH 45209 and 7426 US Highway 42, Florence, KY 41042 3.AFEA-Chapter President-Conducts classes at local universities-8514 McAlpine Park Drive #280, Charlotte, NC 28244-Non-Investment related-20 hrs/mo-Start Date 5/20/16
CRS (Client Relationship Summary) - RIA
Click below to view William Edward Breagy III's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 2, 2002 - Present
CREATIVE FINANCIAL DESIGNS, INC.
Office #1: 7426 Us Hwy 42, Suite 208, Florence, KY 41042RIA
CRD#: 109032
Florence, KY
Current
July 9, 2002 - Present
CFD INVESTMENTS, INC.
Office #1: 7426 Us Highway 42 Suite 208, Florence, KY 41042BD
CRD#: 25427
FLORENCE, KY
Past
April 16, 2001 - July 3, 2002
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
FLORENCE, KY
Past
June 23, 2000 - July 1, 2002
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
March 9, 1999 - June 27, 2000
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
March 9, 1999 - June 27, 2000
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
February 3, 1998 - February 12, 1999
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
September 12, 1997 - February 2, 1998
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
BD
CRD#: 2864
BRYAN, OH
Past
August 11, 1992 - December 18, 1997
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CF
CREATIVE FINANCIAL DESIGNS, INC.
CFD INVESTMENTS, INC. | CREATIVE FINANCIAL DESIGNS, INC.
CRD#: 109032 / SEC#: 801-60153
RIA
Registered Investment Advisory firm - (4/19/2001 Approved)California
Registered Investment Advisory firm - (4/20/2001 Terminated)Florida
Registered Investment Advisory firm - (4/19/2001 Terminated)Indiana
Registered Investment Advisory firm - (12/9/2002 Terminated)Iowa
Registered Investment Advisory firm - (5/20/2002 Terminated)Kentucky
Registered Investment Advisory firm - (4/19/2001 Terminated)Maryland
Registered Investment Advisory firm - (5/20/2002 Terminated)Michigan
Registered Investment Advisory firm - (12/11/2001 Terminated)Missouri
Registered Investment Advisory firm - (4/19/2001 Terminated)New Jersey
Registered Investment Advisory firm - (4/19/2001 Terminated)North Carolina
Registered Investment Advisory firm - (12/19/2006 Terminated)Ohio
Registered Investment Advisory firm - (4/19/2001 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(7/1/2025)
RR
California(7/9/2002)
RR
Florida(5/29/2012)
RR
Indiana(1/29/2013)
IAR
Kentucky(7/2/2002)
RR
Kentucky(7/9/2002)
RR
Michigan(6/10/2005)
RR
Missouri(10/18/2010)
RR
Montana(11/1/2013)
RR
Ohio(7/9/2002)
IAR
Ohio(8/13/2010)
RR
South Carolina(2/7/2023)
RR
Texas(2/3/2020)
RR
Washington(12/15/2003)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CF
CREATIVE FINANCIAL DESIGNS, INC.
CFD INVESTMENTS, INC. | CREATIVE FINANCIAL DESIGNS, INC.
CRD#: 109032 / SEC#: 801-60153
RIA
Registered Investment Advisory firm - (4/19/2001 Approved)California
Registered Investment Advisory firm - (4/20/2001 Terminated)Florida
Registered Investment Advisory firm - (4/19/2001 Terminated)Indiana
Registered Investment Advisory firm - (12/9/2002 Terminated)Iowa
Registered Investment Advisory firm - (5/20/2002 Terminated)Kentucky
Registered Investment Advisory firm - (4/19/2001 Terminated)Maryland
Registered Investment Advisory firm - (5/20/2002 Terminated)Michigan
Registered Investment Advisory firm - (12/11/2001 Terminated)Missouri
Registered Investment Advisory firm - (4/19/2001 Terminated)New Jersey
Registered Investment Advisory firm - (4/19/2001 Terminated)North Carolina
Registered Investment Advisory firm - (12/19/2006 Terminated)Ohio
Registered Investment Advisory firm - (4/19/2001 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2704 S Goyer Rd, Kokomo, IN 46902
Mailing Address
P.o. Box # 2244, Kokomo, IN 46904-2244
Phone number
(765) 453-9600
Established
Firm type
Fiscal year end
# of Employees
150
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 14,029 |
| AUM (Assets Under Management) | $ 2,478,773,967 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/22/2024 | ||
| 01/05/2024 | ||
| 01/10/2023 |
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.
