WS
William H. Sessoms
TD PRIVATE CLIENT WEALTH LLC
Wilmington, NC 28403
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CRD#: 3055139
WS
Professional summary
William Hugh Sessoms III, who also goes by Bill Sessoms III, William Sessoms, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Wilmington, North Carolina.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. William has worked at 4 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bill Sessoms Iii | William Sessoms
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.
NAME OF ENTITY: SOUTHERN OFF ROAD BICYCLE -- CAPE FEAR CHAPTER;
ADDRESS: 206 SCOTT ROAD, ROCKY POINT NC 2845
POSITION: TREASURER;
DUTIES/RESPONSIBILITIES: MONTH TO MONTH TREASURER REPORT TO PARENT ORGANIZATION SORBA. PAYING BILLS FOR CLUB EVENTS;
APPROXIMATE TIME DEVOTED ON A MONTHLY BASIS: 3-5 HOURS;
APPROXIMATE TIME DEVOTED DURING TRADING HOURS: 0; DATE OF INITIAL INVOLVEMENT WITH ENTITY - MAY 2012 UNTIL PRESENT
CRS (Client Relationship Summary) - RIA
Click below to view William Hugh Sessoms III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Hugh Sessoms III's 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®
NoneExperience
Current
July 15, 2013 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 802 S. College Road, Wilmington, NC 28403RIA
BD
CRD#: 164484
Wilmington, NC
Current
February 28, 2013 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 802 S. College Road, Wilmington, NC 28403RIA
BD
CRD#: 164484
Wilmington, NC
Past
December 4, 2008 - November 12, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
RIA
CRD#: 13787
MYRTLE BEACH, SC
Past
December 4, 2008 - November 12, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
MYRTLE BEACH, SC
Past
June 7, 2007 - August 19, 2008
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
WILMINGTON, NC
Past
October 1, 2000 - August 19, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
WILMINGTON, NC
Past
June 12, 1998 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
BD
CRD#: 8112
CHARLOTTE, NC
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".
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(4/20/2015)
IAR
California(4/20/2015)
RR
Connecticut(4/23/2013)
IAR
Connecticut(7/17/2013)
RR
Delaware(4/23/2013)
IAR
Delaware(7/17/2013)
RR
Florida(4/23/2013)
IAR
Florida(7/18/2013)
RR
Georgia(11/28/2022)
IAR
Georgia(11/30/2022)
RR
Illinois(10/16/2019)
IAR
Illinois(11/7/2019)
RR
Maine(4/23/2013)
IAR
Maine(7/15/2013)
RR
Maryland(4/23/2013)
IAR
Maryland(7/17/2013)
RR
Massachusetts(4/23/2013)
IAR
Massachusetts(7/24/2013)
RR
New Hampshire(4/23/2013)
IAR
New Hampshire(7/17/2013)
RR
New Jersey(4/23/2013)
IAR
New Jersey(7/26/2013)
RR
New York(3/4/2013)
IAR
New York(8/19/2021)
RR
North Carolina(4/24/2013)
IAR
North Carolina(7/17/2013)
RR
Ohio(7/22/2024)
IAR
Ohio(7/22/2024)
RR
Pennsylvania(4/23/2013)
IAR
Pennsylvania(7/17/2013)
RR
Rhode Island(4/23/2013)
IAR
Rhode Island(7/17/2013)
RR
South Carolina(4/23/2013)
IAR
South Carolina(7/17/2013)
RR
Vermont(4/23/2013)
IAR
Vermont(7/22/2013)
RR
Virginia(4/23/2013)
IAR
Virginia(7/17/2013)
RR
Washington(10/29/2021)
IAR
Washington(11/2/2021)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1 Vanderbilt Avenue 23rd Floor 23rd Floor, New York, NY, 10017
Mailing Address
1 Vanderbilt Avenue 23rd Floor, New York, NY, 10017
Phone number
(877) 703-9896
Established
Delaware since 07/13/2012
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
662
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 | ||
| 12/21/2022 |
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.
Company Information
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484Wilmington, NC 28403TRUST BUT VERIFY
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