William D. Sergautis

GROWTHVEST

Hollywood, FL

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CRD#: 2528422

Professional summary

William David Sergautis is a registered financial advisor currently at GROWTHVEST located in Hollywood, Florida.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. William has worked at 5 firms and has passed the Series 66, Series 63, Series 3, Series 7, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 David Sergautis's CRS (Customer Relationship Summary).

BROOKSTREET SECURITIES CORPORATION

CRD#: 14667

AVENTURA, FL

Past

February 2, 2001 - December 9, 2003

CARDINAL CAPITAL MANAGEMENT, INC.

CRD#: 24605

MIAMI, FL

Past

April 12, 1995 - May 3, 2001

R.K. GRACE & COMPANY

CRD#: 35203

MIAMI, FL

Past

September 22, 1994 - April 28, 1995

WORLD INVEST CORPORATION

CRD#: 17223

DEERFIELD BEACH, FL

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

Florida
(3/30/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/23/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/20/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 10/16/2007

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/1/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/16/1997

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 2/20/1997

Municipal Securities Principal Examination

Current Firm

GROWTHVEST

CHARTTRADER | GROWTHVEST | CHARTTRADER INC.

CRD#: 143645 / SEC#:

California

Registered Investment Advisory firm - (10/16/2014 Terminated)

Florida

Registered Investment Advisory firm - (3/30/2012 Approved)

New York

Registered Investment Advisory firm - (9/16/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Hollywood, FL

Mailing Address

Phone number

(305) 962-6679

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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William D. Sergautis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William David Sergautis's CRS (Customer Relationship Summary).

Certified licenses

Experience

GROWTHVEST

GROWTHVEST

GROWTHVEST

BROOKSTREET SECURITIES CORPORATION

BROOKSTREET SECURITIES CORPORATION

CARDINAL CAPITAL MANAGEMENT, INC.

R.K. GRACE & COMPANY

WORLD INVEST CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 1/23/2004

Series 63

Date: 4/20/1995

Series 3

Date: 10/16/2007

Series 7

Date: 9/1/1994

Series 24

Date: 5/16/1997

Series 53

Date: 2/20/1997

Current Firm

GROWTHVEST

Contact information

Documents

Red Flags

Company Information

GROWTHVEST

TRUST BUT VERIFY

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