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William Edward Donovan

CRD# 2359085·Registered 1993 - 2019
Previously Registered: Being a previously registered professional could mean that William 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.

Professional Summary

William Edward Donovan was a registered financial advisor. William was a previously registered financial professional and started their career in finance 1993 - 2019. William had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

33 years in the financial services industry

Current & Past Employments

ETF DISTRIBUTORS LLC·CRD# 166181
BD
Hartford, CT
July 15, 2015 - December 2, 2019
VIRTUS INVESTMENT ADVISERS, LLC·CRD# 106982
RIA
Hartford, CT
September 30, 2014 - April 3, 2023
VP DISTRIBUTORS, LLC·CRD# 3036
BD
Hartford, CT
May 25, 2005 - April 3, 2023
MML INVESTORS SERVICES, LLC·CRD# 10409
BD
Springfield, MA
November 5, 2004 - January 7, 2005
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.·CRD# 40596
RIA
Hartford, CT
January 5, 1998 - February 18, 2004
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.·CRD# 40596
BD
Hartford, CT
May 29, 1996 - February 18, 2004
NYLIFE SECURITIES LLC·CRD# 5167
BD
New York, NY
January 20, 1996 - March 28, 1996
VERAVEST INVESTMENTS, INC.·CRD# 3960
BD
Worcester, MA
January 5, 1994 - September 12, 1995
IDS LIFE INSURANCE COMPANY·CRD# 6321
BD
Minneapolis, MN
August 25, 1993 - December 3, 1993
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
BD
Minneapolis, MN
August 25, 1993 - December 3, 1993

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Current Firm

ED
ETF DISTRIBUTORS LLC

ETF DISTRIBUTORS LLC

CRD#: 166181 / SEC#: 8-69191
BD
Terminated by SEC on 01/30/2020

Contact Information

Established

Delaware since 10/15/2012

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
ETFIS HOLDINGS LLCSOLE MEMBER—
BROWN, MATTHEW BARRETTPRESIDENT4859559
HANLEY, DAVID GEORGE JRTREASURER, FINOP5455435
MARTIN, DAVID CAMBRIDGECHIEF COMPLIANCE OFFICER1466549
SMALLEY, WILLIAM JUSTINEXECUTIVE VICE PRESIDENT5278853

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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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Dec 1997About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 1994About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Aug 1993About the Series 7 exam

Series 51 — Municipal Fund Securities Principal Examination

Passed Feb 2021About the Series 51 exam

Series 24 — General Securities Principal Examination

Passed May 1997About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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