William C. Sturgis
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 Christopher Sturgis, who also goes by Chris Sturgis, was a registered financial advisor .
William is a previously registered financial advisor and started their career in finance in 1997. William had worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 19, 2014 - July 9, 2015
TRUIST INVESTMENT SERVICES, INC.
August 18, 2014 - July 9, 2015
TRUIST INVESTMENT SERVICES, INC.
August 3, 2011 - October 23, 2012
WELLS FARGO CLEARING SERVICES, LLC
August 3, 2011 - October 23, 2012
WELLS FARGO CLEARING SERVICES, LLC
December 24, 2008 - September 23, 2009
WELLS FARGO CLEARING SERVICES, LLC
December 24, 2008 - September 23, 2009
WELLS FARGO CLEARING SERVICES, LLC
June 22, 2004 - July 13, 2007
WELLS FARGO CLEARING SERVICES, LLC
June 22, 2004 - July 13, 2007
WELLS FARGO CLEARING SERVICES, LLC
January 11, 2002 - April 22, 2004
CUNA BROKERAGE SERVICES, INC.
November 20, 1998 - April 22, 2004
CUNA BROKERAGE SERVICES, INC.
December 4, 1997 - October 26, 1998
IDS LIFE INSURANCE COMPANY
December 4, 1997 - October 26, 1998
AMERIPRISE FINANCIAL 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
TRUIST INVESTMENT SERVICES, INC.
CRD#: 17499 / SEC#: 801-56443, 8-35355
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | HOLDING COMPANY | |
| CALLENDER, EVELYN MICHELLE | TREASURER AND CHIEF FINANCIAL OFFICER | 7591739 |
| CENTENO, PATRICIA REED | DEPUTY CHIEF COMPLIANCE OFFICER | 2239528 |
| COBBS, JENI RACHEL | COMPLIANCE OFFICER | 4354424 |
| CRAM, BRYAN SCOTT | VICE CHAIRMAN/EXECUTIVE VICE PRESIDENT | 2723431 |
| DOWHOWER, BRIAN SEAN | CHAIRMAN/PRESIDENT/CHIEF EXECUTIVE OFFICER | 4202574 |
| DUNN, JEFFREY TODD | DIRECTOR/EXECUTIVE VICE PRESIDENT | 4228631 |
| HECHTLINGER, SUSAN | DIRECTOR/CHIEF COMPLIANCE OFFICER/SENIOR VICE PRESIDENT | 2890466 |
| MAVICO, CECILIA BAUTE | SENIOR VICE CHAIRMAN/CHIEF OPERATING OFFICER/CORPORATE SECRETARY | 3261303 |
| NORMAN, ANNMARIE CARROLL | COMPLIANCE OFFICER | 2993726 |
| TYSON, TONYA | CHIEF OPERATIONS OFFICER/SENIOR VICE PRESIDENT/ASSISTANT CORPORATE SECRETARY | 1987448 |
| WEHINGER, LEAH ROWE | DIRECTOR/EXECUTIVE VICE PRESIDENT | 1719505 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 14 |
| Bond | 2 |
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.
