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William R. Sawyer

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CRD#: 2914741
WS

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 Ross Sawyer, CFP® was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1997. William had worked at 2 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
Since January 2020, Mr. William R. Sawyer has been employed as a Finance and Accounting Instructor (investment related) at UC Berkeley Extension located in Berkeley, California. Mr. Sawyer spends approximately 15 to 18 hours each week, outside of securities trading hours, dedicated to role as an instructor. On August 25th, 2020, Mr. Sawyer became licensed as a CPA (investment related). Mr. Sawyer does not expect to spend more than 5% of his time annually, providing tax and accounting services. Since October 2020, Mr. Sawyer has been employed as an Adjunct Vice Dean with Patten University (investment related), located in Oakland, California. Mr. Sawyer spends approximately 10 hours each week, outside of securities trading hours, as a program adviser and assisting with curriculum planning and institutional strategy.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Experience

Past

February 10, 2021 - January 7, 2023

AVEREX CAPITAL MANAGEMENT LLC

RIA
CRD#: 310804
PLEASANT HILL, CA
Past

October 28, 1997 - January 19, 1999

JPMSI

BD
CRD#: 15733
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/8/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/27/1997
General Securities Representative Examination

Current Firm

AC
AVEREX CAPITAL MANAGEMENT LLC
AVEREX CAPITAL MANAGEMENT LLC

CRD#: 310804 / SEC#:

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Contact information

Main Address
Pleasant Hill, CA
Mailing Address
25a Crescent Dr # 301, Pleasant Hill, CA 94523-5508
Phone number
+1 (925) 322-1760
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV
0

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

AVEREX CAPITAL MANAGEMENT LLC

CRD#: 310804

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