William K. Burton
Professional summary
William Kevin Burton, who also goes by Kevin Burton, is a registered financial advisor currently at PRINCIPAL ADVISED SERVICES located in Conroe, Texas and PRINCIPAL SECURITIES, INC. located in Des Moines, Iowa.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. William has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view William Kevin Burton's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 31, 2022 - Present
PRINCIPAL ADVISED SERVICES
November 26, 2013 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 711 High St, Des Moines, IA 50392December 12, 2013 - October 31, 2022
PRINCIPAL SECURITIES, INC.
September 23, 2011 - November 13, 2013
MSI FINANCIAL SERVICES, INC.
September 12, 2011 - November 13, 2013
MSI FINANCIAL SERVICES, INC.
August 20, 2007 - September 8, 2011
NATIONWIDE INVESTMENT ADVISORS, LLC
August 8, 2007 - September 8, 2011
NATIONWIDE INVESTMENT SERVICES CORPORATION
January 29, 2004 - March 21, 2007
GUARANTY BROKERAGE SERVICES, INC.
April 7, 2003 - January 13, 2004
ALLSTATE FINANCIAL SERVICES, LLC
November 12, 2002 - April 16, 2003
VALIC FINANCIAL ADVISORS, INC.
January 21, 1999 - April 16, 2003
VALIC FINANCIAL ADVISORS, INC.
February 27, 1997 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
Primary Firm SEC Registration
PRINCIPAL ADVISED SERVICES
CRD#: 297324 / SEC#: 801-114432
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/12/2021)
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(11/12/2018)
(2/12/2021)
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(2/12/2021)
(2/12/2021)
(3/15/2024)
(2/12/2021)
(2/12/2021)
(11/12/2018)
(2/12/2021)
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(12/3/2018)
(2/12/2021)
(2/12/2021)
(2/12/2021)
(11/25/2019)
(11/12/2018)
(2/12/2021)
(11/26/2013)
(10/31/2022)
(11/25/2019)
(2/12/2021)
(2/12/2021)
(11/12/2018)
Exams
FINRA
Current Firm
PRINCIPAL ADVISED SERVICES
CRD#: 297324 / SEC#: 801-114432
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 16,940 |
| AUM (Assets Under Management) | $ 887,316,440 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/20/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
