William A. Wilkes
Professional summary
William Albert Wilkes JR, who also goes by B J Albert Wilkes, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Phoeniz, Arizona and CETERA INVESTMENT SERVICES LLC located in Phoenix, Arizona.
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 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9, Series 8, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view William Albert Wilkes JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 21, 2014 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 4750 E. Chandler Blvd., Phoeniz, AZ 85226November 30, 2006 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 4750 E Chandler Blvd, Phoenix, AZ 85048November 30, 2006 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
July 19, 2006 - August 15, 2008
RG ADVISOR GROUP
June 23, 2006 - December 19, 2006
OSAIC SERVICES, INC.
September 15, 2003 - July 6, 2006
AMERIPRISE ADVISOR SERVICES, INC.
June 11, 2003 - July 6, 2006
AMERIPRISE ADVISOR SERVICES, INC.
April 28, 2003 - June 16, 2003
WADDELL & REED
November 29, 2002 - April 25, 2003
QUICK & REILLY, INC.
July 27, 1998 - April 25, 2003
QUICK & REILLY, INC.
September 30, 1997 - July 2, 1998
TRADESTAR INVESTMENTS,INC.
July 12, 1996 - October 20, 1997
SAVOY DISCOUNT BROKERAGE
August 7, 1995 - July 11, 1996
CITIGROUP GLOBAL MARKETS INC.
July 19, 1994 - July 17, 1995
U.S. BANCORP SECURITIES
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
(11/30/2006)
(1/21/2014)
(11/30/2006)
(9/11/2020)
(6/30/2022)
(6/5/2025)
(1/21/2025)
(4/2/2025)
(11/30/2006)
(4/2/2025)
(11/30/2006)
(5/26/2020)
(3/30/2011)
(10/22/2019)
(10/19/2023)
(1/14/2013)
Exams
Series 8
Date: 12/30/1998
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
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 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Phoeniz, AZ 85226TRUST BUT VERIFY
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