William D. Sprinkle
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 David Sprinkle was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1995. William had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2011 - August 26, 2019
AVANTAX ADVISORY SERVICES
September 30, 2011 - August 26, 2019
AVANTAX INVESTMENT SERVICES, INC.
August 2, 2011 - September 16, 2011
LPL FINANCIAL LLC
July 29, 2011 - September 16, 2011
LPL FINANCIAL LLC
May 15, 2009 - August 4, 2009
CUNA BROKERAGE SERVICES, INC.
May 15, 2009 - August 4, 2009
CUNA BROKERAGE SERVICES, INC.
July 27, 2005 - November 20, 2007
WELLS FARGO INVESTMENTS, LLC
June 2, 2004 - November 20, 2007
WELLS FARGO INVESTMENTS, LLC
March 12, 2002 - February 13, 2004
QUICK & REILLY, INC.
December 13, 2000 - March 6, 2002
WELLS FARGO INVESTMENTS, LLC
July 13, 1999 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
May 5, 1999 - May 2, 2001
WELLS FARGO SECURITIES INC.
June 17, 1997 - May 4, 1999
FIDELITY BROKERAGE SERVICES LLC
October 25, 1995 - March 29, 1996
MORGAN STANLEY DW INC.
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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
