WM
William T. Mawby
CETERA INVESTMENT ADVISERS LLC
AKRON, OH 44333
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CRD#: 2797493
WM
Professional summary
William Thomas Mawby, AIF® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Akron, Ohio and CETERA WEALTH SERVICES, LLC located in Akron, Ohio.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. William has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 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.
(1) NAME OF OTHER BUSINESS: VISION WEALTH MANAGEMENT LLC ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL SERVICES ; START DATE: 05/2021 ; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL ; APX NUMBER OF HOURS PER WEEK: 30 ; APX NUMBER OF HOURS DURING TRADING HOURS: 30 ; BRIEF DESCRIPTION OF DUTIES: SECURITIES AND INSURANCE SALES AND SERVICE ; (2) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FIXED INSURANCE ; START DATE:04/2019 ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE ; (3) RIA THRU FINANCIAL MANAGEMENT STRATEGIES, INC FOR 15 HRS WK SINCE 01/2010 (4) OWNER RENTAL REAL ESTATE FOR 1HR/WK SINCE 12/2005 (5) NAME OF OTHER BUSINESS: INTEGRATED PLAN PARTNERS INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 2/2022, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; (6) NAME OF OTHER BUSINESS: PILLAR FINANCIAL GROUP LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 07/2025; POSITION/TITLE/RELATIONSHIP: FOUNDING PARTNER; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view William Thomas Mawby's 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®
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 3200 W Market St Ste 300, Akron, OH 44333RIA
CRD#: 105644
AKRON, OH
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3200 W Market St Ste 300, Akron, OH 44333BD
CRD#: 13572
Akron, OH
Past
September 3, 2013 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
BROADVIEW HEIGHTS, OH
Past
January 19, 2010 - September 3, 2013
WALNUT STREET SECURITIES, INC.
RIA
CRD#: 15840
HUDSON, OH
Past
January 15, 2010 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
HUDSON, OH
Past
December 7, 1999 - January 22, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
MAYFIELD HEIGHTS, OH
Past
July 23, 1999 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
July 23, 1999 - January 22, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MAYFIELD HEIGHTS, OH
Past
October 14, 1996 - June 15, 1999
WRP INVESTMENTS, INC.
BD
CRD#: 7365
YOUNGSTOWN, OH
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(3/22/2024)
RR
Florida(10/15/2018)
RR
Indiana(10/14/2021)
IAR
Ohio(1/21/2010)
RR
Ohio(9/3/2013)
RR
South Carolina(3/27/2019)
IAR
Texas(3/13/2024)
RR
Texas(3/14/2024)
RR
Utah(3/13/2024)
RR
Washington(4/2/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Akron, OH 44333TRUST BUT VERIFY
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