William E. Cavey
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 Eugene Cavey, who also goes by Bill Cavey, William Cavey, William Eugene Cavey, William Cavey, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1996. William had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2020 - March 10, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
June 4, 2020 - March 4, 2022
FIDELITY BROKERAGE SERVICES LLC
March 2, 2017 - October 28, 2019
WELLS FARGO CLEARING SERVICES, LLC
March 2, 2017 - October 28, 2019
WELLS FARGO CLEARING SERVICES, LLC
June 10, 2015 - June 22, 2016
BPV CAPITAL MANAGEMENT, LLC
March 24, 2015 - June 22, 2016
FORESIDE FUND SERVICES, LLC
September 1, 2011 - March 2, 2015
NUVEEN ASSET MANAGEMENT, LLC
February 6, 2009 - September 1, 2011
NUVEEN FUND ADVISORS, LLC
October 25, 2006 - January 26, 2009
RITTENHOUSE ASSET MANAGEMENT, INC.
October 23, 2006 - March 12, 2015
NUVEEN SECURITIES, LLC
February 9, 2005 - October 13, 2006
MERRILL LYNCH INVESTMENT MANAGERS LP
February 9, 2005 - October 13, 2006
FAM DISTRIBUTORS, INC.
May 9, 2003 - October 14, 2004
OLD MUTUAL INVESTMENT PARTNERS
April 25, 2001 - March 10, 2003
WELLS FARGO CLEARING SERVICES, LLC
February 3, 2000 - March 10, 2003
WELLS FARGO CLEARING SERVICES, LLC
November 19, 1999 - January 28, 2000
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
February 2, 1998 - November 4, 1999
MENTOR SERVICES COMPANY, LLC
November 6, 1996 - February 2, 1998
HEARTLAND INVESTOR SERVICES, LLC
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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
