William N. Grimmett
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 Noah Grimmett III, who also goes by Buster Grimmett III, William Noah Grimmett, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1974. William had worked at 8 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2012 - June 17, 2019
CAPITAL ANALYSTS
June 1, 2012 - June 17, 2019
LINCOLN INVESTMENT
June 1, 2012 - June 17, 2019
LINCOLN INVESTMENT
July 25, 2002 - June 1, 2012
CINCINNATI ANALYSTS, INC.
December 21, 1999 - June 1, 2012
CINCINNATI ANALYSTS, INC.
January 7, 1991 - December 17, 1999
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 14, 1989 - December 22, 1999
IDS LIFE INSURANCE COMPANY
August 14, 1989 - December 22, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
March 2, 1983 - August 17, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
November 12, 1981 - July 26, 1983
CAPITAL CONCEPTS INVESTMENT CORP.
April 24, 1974 - August 4, 1981
CINCINNATI ANALYSTS, INC.
Primary Firm SEC Registration
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
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 1
Date: 4/22/1974
Registered Representative ExaminationCurrent Firm
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,578 |
| AUM (Assets Under Management) | $ 8,713,202,466 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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.
