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WA

William R. Auble

EXCHANGERIGHT SECURITIES
Pasadena, CA 91106
Some features on this profile are disabled
CRD#: 2462939
WA

Professional summary

William Robert Auble, who also goes by Bill Auble, William Auble, is a registered financial professional currently at EXCHANGERIGHT SECURITIES, LLC located in Pasadena, California.

William is registered as a RR (Registered Representative) and started their career in finance in 1994. William has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bill Auble | William Auble

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Robert Auble's CRS (Customer Relationship Summary).
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®
None

Experience

Current

January 15, 2025 - Present

EXCHANGERIGHT SECURITIES, LLC

Office #1: 1055 E. Colorado Blvd, Suite 3130, Pasadena, CA 91106
BD
CRD#: 283430
Pasadena, CA
Past

February 9, 2021 - December 23, 2024

PREP SECURITIES, LLC

BD
CRD#: 188522
PARK CITY, UT
Past

April 18, 2020 - July 6, 2020

THIRD SEVEN CAPITAL LLC

BD
CRD#: 160209
Lake Como, NJ
Past

January 14, 2019 - November 4, 2019

COMMONWEALTH FINANCIAL NETWORK

RIA
CRD#: 8032
BROOKFIELD, WI
Past

January 2, 2019 - November 4, 2019

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
BROOKFIELD, WI
Past

March 16, 2016 - November 2, 2018

RESOURCE SECURITIES LLC

BD
CRD#: 133022
PHILADELPHIA, PA
Past

February 23, 2011 - December 8, 2015

REALTY CAPITAL SECURITIES, LLC

BD
CRD#: 145454
NEW YORK CITY, NY
Past

May 30, 2003 - November 29, 2010

DWS INVESTMENT MANAGEMENT AMERICAS, INC.

RIA
CRD#: 104518
CHICAGO, IL
Past

December 9, 1998 - November 29, 2010

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
CHICAGO, IL
Past

October 14, 1997 - November 12, 1998

NUVEEN SECURITIES, LLC

BD
CRD#: 469
CHICAGO, IL
Past

April 4, 1994 - April 22, 1997

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Arkansas
(4/14/2025)
RR
California
(1/15/2025)
RR
Illinois
(4/14/2025)
RR
Iowa
(4/14/2025)
RR
Kansas
(4/14/2025)
RR
Louisiana
(4/14/2025)
RR
Michigan
(7/25/2025)
RR
Minnesota
(4/14/2025)
RR
Missouri
(4/14/2025)
RR
Nebraska
(4/14/2025)
RR
North Carolina
(11/3/2025)
RR
North Dakota
(4/14/2025)
RR
Oklahoma
(4/14/2025)
RR
South Dakota
(4/14/2025)
RR
Wisconsin
(1/15/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/14/2019
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/21/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/14/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/31/1994
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 8/24/1995
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

ES
EXCHANGERIGHT SECURITIES, LLC
EXCHANGERIGHT SECURITIES, LLC

CRD#: 283430 / SEC#: , 8-69753

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
1055 E. Colorado Blvd., Suite 310, Pasadena, CA 91106
Mailing Address
1055 E. Colorado Blvd., Suite 310, Pasadena, CA 91106
Phone number
(626) 564-1031
Established
California since 01/06/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
EXCHANGERIGHT HOLDINGS, LLCOWNER
DRYDEN, SUSANA KAYCHIEF COMPLIANCE OFFICER, MANAGING MEMBER5327906
THOMAS, WARREN JESSE MCEWINPRESIDENT, MANAGING MEMBER2299254
THORNTON, STEVEN LEEFINOP4496384
UNGERECHT, JOSHUA PAULCEO, MANAGING MEMBER5183573

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.

Company Information

EXCHANGERIGHT SECURITIES, LLC

CRD#: 283430Pasadena, CA 91106

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