William S. Small

HIGHLAND CAPITAL ADVISORS

Issaquah, WA 98027

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CRD#: 2710817

Professional summary

William Sean Small, CIMA® is a registered financial advisor currently at HIGHLAND CAPITAL ADVISORS, LLC located in Issaquah, Washington.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. William has worked at 2 firms and has passed the Series 66 and Series 7 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.

Rainier Set Sail, LLC Member. This is a non investment related activity. This LLC owns and occupies the office building that Highland Capital Advisors currently occupies.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Sean Small'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

February 9, 2011 - Present

HIGHLAND CAPITAL ADVISORS, LLC

Office #1: 485 Rainier Blvd. North Suite 103, Issaquah, WA 98027

RIA

CRD#: 139780

Issaquah, WA

Past

October 25, 2004 - January 28, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SEATTLE, WA

Past

November 21, 2003 - January 28, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

HIGHLAND CAPITAL ADVISORS, LLC

CRD#: 139780 / SEC#: 801-66336

RIA

Registered Investment Advisory firm - (5/21/2006 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

Washington
(2/9/2011)

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: 12/19/2003

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 11/20/2003

General Securities Representative Examination

Current Firm

HIGHLAND CAPITAL ADVISORS, LLC

CRD#: 139780 / SEC#: 801-66336

RIA

Registered Investment Advisory firm - (5/21/2006 Approved)

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Contact information

Main Address

485 Rainier Blvd North Suite 103, Issaquah, WA 98027

Mailing Address

Phone number

+1 (800) 717-6180

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HCA ADV PART 2A - IMPLEMENTED SOLUTIONS (1/29/2025)

HCA ADV PART 2A - INVESTMENT CONSULTING (1/29/2025)

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 S. Small

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Sean Small's CRS (Customer Relationship Summary).

Certified licenses

Experience

HIGHLAND CAPITAL ADVISORS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

HIGHLAND CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/19/2003

Series 7

Date: 11/20/2003

Current Firm

HIGHLAND CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

HIGHLAND CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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