William H. Bouma
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 Hal Bouma, who also goes by Bill Bouma, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1993. William had worked at 12 firms and has passed the Series 65, 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
March 4, 2024 - April 28, 2026
LPL FINANCIAL LLC
March 4, 2024 - April 28, 2026
LPL FINANCIAL LLC
June 29, 2023 - March 7, 2024
CETERA INVESTMENT ADVISERS LLC
June 22, 2018 - June 29, 2023
CETERA WEALTH SERVICES, LLC
June 22, 2018 - March 7, 2024
CETERA WEALTH SERVICES, LLC
April 19, 2012 - June 14, 2018
CUSO FINANCIAL SERVICES, L.P.
April 11, 2012 - June 14, 2018
CUSO FINANCIAL SERVICES, L.P.
November 10, 2011 - March 29, 2012
FIFTH THIRD SECURITIES, INC.
November 9, 2011 - March 29, 2012
FIFTH THIRD SECURITIES, INC.
November 13, 2009 - September 13, 2011
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - September 13, 2011
PNC WEALTH MANAGEMENT LLC
August 4, 2008 - November 13, 2009
NATCITY INVESTMENTS, INC.
August 4, 2008 - November 13, 2009
NATCITY INVESTMENTS, INC.
February 17, 2005 - March 20, 2008
FIFTH THIRD SECURITIES, INC.
May 2, 2001 - March 20, 2008
FIFTH THIRD SECURITIES, INC.
August 23, 2000 - May 2, 2001
OLD KENT FINANCIAL ADVISORS
December 15, 1998 - August 23, 2000
LASALLE FINANCIAL SERVICES, INC.
July 16, 1998 - September 25, 1998
OLD KENT FINANCIAL ADVISORS
August 13, 1997 - July 23, 1998
OSAIC WEALTH, INC.
December 14, 1995 - August 11, 1997
MARINER FINANCIAL SERVICES, INC.
May 4, 1993 - December 14, 1995
ANDOVER SECURITIES, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 214 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
