William L. Davis
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 Larry Davis, who also goes by W Larry Davis, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2009. William had worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2016 - July 30, 2021
SAGEVIEW ADVISORY GROUP, LLC
January 7, 2016 - March 31, 2021
CETERA WEALTH SERVICES, LLC
November 9, 2009 - January 25, 2011
KESTRA INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
SAGEVIEW ADVISORY GROUP, LLC
CRD#: 126777 / SEC#: 801-64265
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
SAGEVIEW ADVISORY GROUP, LLC
CRD#: 126777 / SEC#: 801-64265
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,295 |
| AUM (Assets Under Management) | $ 238,552,018,915 |
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.
