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WC

William M. Carey

CAPITAL GROUP PRIVATE CLIENT SERVICES
Los Angeles, CA 90071
Some features on this profile are disabled
CRD#: 2523419
WC

Professional summary

William Mark Carey, who also goes by Bill Carey, William M Carey, William Carey, is a registered financial advisor currently at CAPITAL GROUP PRIVATE CLIENT SERVICES, INC. located in Los Angeles, California.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. William has worked at 7 firms and has passed the Series 66, Series 63, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Bill Carey | William M Carey | William Carey

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) - RIA

Click below to view William Mark Carey'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

July 1, 2021 - Present

CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.

Office #1: 333 South Hope Street, Los Angeles, CA 90071Office #2: Promenade Ii, Suite 2300 1230 Peachtree St., Ne, Atlanta, GA 30309
RIA
CRD#: 312837
Los Angeles, CA
Past

January 19, 2016 - July 1, 2021

CAPITAL BANK AND TRUST COMPANY

RIA
CRD#: 170017
Atlanta, GA
Past

May 6, 2010 - January 19, 2016

CAPITAL GUARDIAN TRUST COMPANY

RIA
CRD#: 108236
ATLANTA, GA
Past

May 25, 2007 - March 23, 2010

NEUBERGER BERMAN BD LLC

RIA
CRD#: 2908
ATLANTA, GA
Past

March 15, 2007 - March 23, 2010

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
ATLANTA, GA
Past

October 15, 2001 - April 3, 2003

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

June 20, 2001 - October 15, 2001

WACHOVIA SECURITIES, INC.

BD
CRD#: 431
CHARLOTTE, NC
Past

May 8, 1998 - February 23, 2001

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

July 27, 1994 - March 10, 1998

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY

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".
CG
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.
CAPITAL GROUP PRIVATE CLIENT SERVICES | CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.

CRD#: 312837 / SEC#: 801-121267

RIA
Registered Investment Advisory firm - (5/20/2021 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.

Highlighted states indicate IAR registrations

IAR
California
(7/1/2021)
IAR
Georgia
(7/1/2021)
IAR
Illinois
(7/1/2021)
IAR
Nevada
(7/1/2021)
IAR
New York
(7/29/2021)
IAR
Texas
(7/1/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/23/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/25/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/31/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/28/2009
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 12/17/2008
General Securities Sales Supervisor - Options Module Examination

Current Firm

CG
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.
CAPITAL GROUP PRIVATE CLIENT SERVICES | CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.

CRD#: 312837 / SEC#: 801-121267

RIA
Registered Investment Advisory firm - (5/20/2021 Approved)
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Contact information

Main Address
333 South Hope Street, Los Angeles, CA 90071
Mailing Address
Phone number
(213) 486-9200
Established
Firm type
Fiscal year end
# of Employees
189

SEC notice filing (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CGPCS ADV PART 2A (9/26/2025)

Regulatory assets under management

Total Number of Accounts12,073
AUM (Assets Under Management)$ 42,713,999,861

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/24/2024
Cover Page
Report
07/28/2023
Cover Page
Report
10/26/2022
Cover Page
Report

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

CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.

CRD#: 312837Los Angeles, CA 90071

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