Willard C. Lipe

LIPE & DALTON INVESTMENT COUNSEL

Syracuse, NY 13202

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CRD#: 2997351

Professional summary

Willard Charles Lipe III, who also goes by Bill Lipe III, Willard Charles III Lipe, is a registered financial advisor currently at LIPE & DALTON INVESTMENT COUNSEL located in Syracuse, New York.

Willard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Willard has worked at 3 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bill Lipe Iii | Willard Charles Iii Lipe

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Willard Charles Lipe III's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

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

None

Experience

Current

August 2, 2021 - Present

LIPE & DALTON INVESTMENT COUNSEL

Office #1: 103 E. Water Street Suite 305, Syracuse, NY 13202

RIA

CRD#: 132737

Syracuse, NY

Past

September 3, 1998 - September 17, 2004

HSBC BROKERAGE (USA) INC.

CRD#: 6956

NEW YORK, NY

Past

January 27, 1998 - June 8, 1998

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LIPE & DALTON INVESTMENT COUNSEL

LIPE & DALTON INVESTMENT COUNSEL | WWW.LIPEANDDALTON.COM | LIPE & DALTON,INC.

CRD#: 132737 / SEC#: 801-66472

RIA

Registered Investment Advisory firm - (3/23/2006 Approved)

New York

Registered Investment Advisory firm - (3/28/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(8/2/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/6/1998

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 1/23/1998

General Securities Representative Examination

Current Firm

LIPE & DALTON INVESTMENT COUNSEL

LIPE & DALTON INVESTMENT COUNSEL | WWW.LIPEANDDALTON.COM | LIPE & DALTON,INC.

CRD#: 132737 / SEC#: 801-66472

RIA

Registered Investment Advisory firm - (3/23/2006 Approved)

New York

Registered Investment Advisory firm - (3/28/2006 Terminated)

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Contact information

Main Address

103 E. Water Street Suite 305, Syracuse, NY 13202

Mailing Address

Phone number

(315) 428-8585

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LIPE & DALTON ADV PART II 2024 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	358
AUM (Assets Under Management)	$ 690,500,000

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.

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Willard C. Lipe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Willard Charles Lipe III's CRS (Customer Relationship Summary).

Certified licenses

Experience

LIPE & DALTON INVESTMENT COUNSEL

HSBC BROKERAGE (USA) INC.

FSC SECURITIES CORPORATION

Primary Firm SEC Registration

LIPE & DALTON INVESTMENT COUNSEL

State Registrations and Notice Filings

Exams

Series 66

Date: 2/6/1998

Series 7

Date: 1/23/1998

Current Firm

LIPE & DALTON INVESTMENT COUNSEL

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LIPE & DALTON INVESTMENT COUNSEL

TRUST BUT VERIFY

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