William K. Elliott
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 Kent Elliott, who also goes by Bill Elliott, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1993. William had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 3, 2023 - July 15, 2026
CETERA INVESTMENT ADVISERS LLC
June 21, 2023 - July 15, 2026
CETERA WEALTH SERVICES, LLC
August 31, 2017 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
October 21, 2008 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
January 23, 2003 - October 16, 2008
SIGNATOR INVESTORS, INC.
November 22, 1999 - December 31, 2002
EQUITY SERVICES, INC.
November 22, 1999 - December 31, 2002
EQUITY SERVICES, INC.
July 9, 1993 - November 18, 1999
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 9, 1993 - November 18, 1999
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 |
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.
