WS
William E. Shank
SYMPHONY FINANCIAL, LTD. CO.
KINGWOOD, TX 77339
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CRD#: 2439086
WS
Professional summary
William Earl Shank, who also goes by Bill Shank, William Shank, is a registered financial advisor currently at SYMPHONY FINANCIAL, LTD. CO. located in Kingwood, Texas and LPL FINANCIAL LLC located in Kingwood, Texas.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. William has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bill Shank | William Shank
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. 10/26/2006 - Shank Wealth Management LLC - Investment Related - DBA for LPL Business (entity for LPL business). 2. 08/27/2014 - Symphany Financial, Ltd. Co. - DBA: Shank Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date - 07/15/2014- 160 Hours Per Month/ 160 Hours During Securities Trading. 3. 11/136/18 - Symphany Financial, Ltd. Co. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date - 07/15/2014- 160 Hours Per Month/ 160 Hours During Securities Trading - I provide investment advisory services through Symphany Financial Ltd, Co., an independent investment advisor firm. I started this business activity in 07/2014. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 03/24/2022 - SMJG LLC - Investment Related - Kingwood, TX 77339 - Real Estate Rental - Start Date - 04/01/2022- 5 Hours Per Month/ 0 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view William Earl Shank'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 15, 2014 - Present
SYMPHONY FINANCIAL, LTD. CO.
Office #1: 2627 Chestnut Ridge Suite 260, Kingwood, TX 77339RIA
CRD#: 171816
KINGWOOD, TX
Current
November 10, 2006 - Present
LPL FINANCIAL LLC
Office #1: 2627 Chestnut Ridge Dr Ste 260, Kingwood, TX 77339RIA
BD
CRD#: 6413
Kingwood, TX
Past
November 10, 2006 - October 29, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
KINGWOOD, TX
Past
March 31, 2003 - November 14, 2006
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
SPRING, TX
Past
March 31, 2003 - November 14, 2006
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
SPRING, TX
Past
February 16, 1994 - April 1, 2003
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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".
SF
SYMPHONY FINANCIAL, LTD. CO.
ACROPOLIS CAPITAL PARTNERS | THE GREENSAGE GROUP | SYMPHONY FINANCIAL, LTD. CO. | SHANK WEALTH MANAGEMENT | INSIGHT WEALTH MANAGEMENT | IIE FINANCIAL | DOGWOOD CAPITAL ADVISORS | CROSSPOINT WEALTH MANAGEMENT | BOLLICH & BURGOYNE | AVIATION RETIREMENT STRATEGIES/PRIVATE WEALTH MANAGEMENT | AVIATION RETIREMENT STRATEGIES | ARS PRIVATE WEALTH | APEX WEALTH & RISK MANAGEMENT
CRD#: 171816 / SEC#: 801-79989
RIA
Registered Investment Advisory firm - (6/30/2014 Approved)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(10/25/2022)
RR
Arkansas(2/25/2019)
RR
California(11/10/2006)
RR
Colorado(11/10/2006)
RR
Florida(5/10/2023)
RR
Kansas(9/24/2024)
RR
Louisiana(11/21/2006)
RR
Michigan(8/15/2012)
RR
Ohio(11/13/2013)
RR
Texas(11/10/2006)
IAR
Texas(7/15/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SF
SYMPHONY FINANCIAL, LTD. CO.
ACROPOLIS CAPITAL PARTNERS | THE GREENSAGE GROUP | SYMPHONY FINANCIAL, LTD. CO. | SHANK WEALTH MANAGEMENT | INSIGHT WEALTH MANAGEMENT | IIE FINANCIAL | DOGWOOD CAPITAL ADVISORS | CROSSPOINT WEALTH MANAGEMENT | BOLLICH & BURGOYNE | AVIATION RETIREMENT STRATEGIES/PRIVATE WEALTH MANAGEMENT | AVIATION RETIREMENT STRATEGIES | ARS PRIVATE WEALTH | APEX WEALTH & RISK MANAGEMENT
CRD#: 171816 / SEC#: 801-79989
RIA
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Contact information
Main Address
4295 San Felipe Suite 300, Houston, TX 77027
Mailing Address
Phone number
(281) 272-6800
Established
Firm type
Fiscal year end
# of Employees
36
SEC notice filing (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,324 |
| AUM (Assets Under Management) | $ 1,093,185,695 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SYMPHONY FINANCIAL, LTD. CO.
CRD#: 171816Kingwood, TX 77339TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
