William W. Edwards
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 Wallace Edwards III, who also goes by William Wallace III Edwards, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1994. William had worked at 13 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2015 - March 20, 2015
OSAIC INSTITUTIONS, INC.
February 4, 2015 - March 20, 2015
OSAIC INSTITUTIONS, INC.
May 12, 2008 - October 15, 2014
INVESTMENT PROFESSIONALS, INC.
May 12, 2008 - October 15, 2014
INVESTMENT PROFESSIONALS, INC.
July 29, 2003 - May 1, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
July 21, 2003 - July 3, 2006
IDS LIFE INSURANCE COMPANY
July 21, 2003 - May 1, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
February 7, 2003 - February 24, 2003
VSR FINANCIAL SERVICES, INC.
June 10, 2002 - February 7, 2003
THE MASTERS, INC.
June 7, 2002 - February 24, 2003
VSR FINANCIAL SERVICES, INC.
March 26, 2002 - June 26, 2002
RUSHMORE SECURITIES CORPORATION
December 21, 2000 - January 31, 2002
TRANSAMERICA CAPITAL, LLC
June 6, 2000 - October 25, 2000
IDS LIFE INSURANCE COMPANY
June 6, 2000 - October 25, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
October 27, 1999 - May 2, 2000
NYLIFE DISTRIBUTORS LLC
October 14, 1999 - May 2, 2000
NYLIFE SECURITIES LLC
June 3, 1998 - November 9, 1998
CITIGROUP GLOBAL MARKETS INC.
November 26, 1994 - March 2, 1995
H.J. MEYERS & CO., INC.
April 20, 1994 - September 2, 1994
MERIDIAN SECURITIES, INC.
Primary Firm SEC Registration
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
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
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
