William Robert Auble
Professional Summary
William Robert Auble, who also goes by Bill Auble, William Auble, is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Bill Auble, William Auble
Similar Advisors
MORGAN STANLEY
J.P. MORGAN SECURITIES LLC
RBC CAPITAL MARKETS, LLC
DIWY FINANCIAL PLANNING
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
MORGAN STANLEY
J.P. MORGAN SECURITIES LLC
RBC CAPITAL MARKETS, LLC
DIWY FINANCIAL PLANNING
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
MORGAN STANLEY
J.P. MORGAN SECURITIES LLC
RBC CAPITAL MARKETS, LLC
DIWY FINANCIAL PLANNING
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.
Similar Advisors
MORGAN STANLEY
J.P. MORGAN SECURITIES LLC
RBC CAPITAL MARKETS, LLC
DIWY FINANCIAL PLANNING
Years of Experience
32 years in the financial services industry
Current & Past Employments
Similar Advisors
MORGAN STANLEY
J.P. MORGAN SECURITIES LLC
RBC CAPITAL MARKETS, LLC
DIWY FINANCIAL PLANNING
Current Firm
EXCHANGERIGHT SECURITIES, LLC
Contact Information
Main Address
1055 E. Colorado Blvd., Suite 310, Pasadena, CA 91106Mailing Address
1055 E. Colorado Blvd., Suite 310, Pasadena, CA 91106Phone Number
(626) 564-1031Established
California since 01/06/2016Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Similar Advisors
MORGAN STANLEY
J.P. MORGAN SECURITIES LLC
RBC CAPITAL MARKETS, LLC
DIWY FINANCIAL PLANNING
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.
Similar Advisors
MORGAN STANLEY
J.P. MORGAN SECURITIES LLC
RBC CAPITAL MARKETS, LLC
DIWY FINANCIAL PLANNING
State Registrations and Notice Filings
(1/15/2025)
(4/14/2025)
(4/14/2025)
(4/14/2025)
(7/25/2025)
(4/14/2025)
(4/14/2025)
(4/14/2025)
(11/3/2025)
(4/14/2025)
(4/14/2025)
(1/15/2025)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 1994About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Aug 1995About the Series 26 examSRO Registrations
Similar Advisors
MORGAN STANLEY
J.P. MORGAN SECURITIES LLC
RBC CAPITAL MARKETS, LLC
DIWY FINANCIAL PLANNING
CRS (Client Relationship Summary) - BD
Click below to view William Robert Auble's CRS (Customer Relationship Summary).
Similar Advisors
MORGAN STANLEY
J.P. MORGAN SECURITIES LLC
RBC CAPITAL MARKETS, LLC
DIWY FINANCIAL PLANNING
