William J. Carmody

CETERA INVESTMENT ADVISERS LLC

HONESDALE, PA 18431

Some features on this profile are disabled

CRD#: 3142440

Professional summary

William James Carmody is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Honesdale, Pennsylvania and CETERA INVESTMENT SERVICES LLC located in Honesdale, Pennsylvania.

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 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1.)TRUSTEE OF IRREVOCABLE LIFE INSURANCE TRUST FOR JOHN AND CONSTANCE CARMODY (BROTHER & SISTER IN LAW). MONITOR PREMIUM PAYMENTS AND REVIEW ANNUAL STATEMENTS. 1 HOUR ANNUALLY, COMMISSION FROM LIFE POLICY. 3.) REFERRALS TO TRUST DEPARTMENT OF BANK

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William James Carmody'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

January 21, 2014 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 724 Main Street, Honesdale, PA 18431

RIA

CRD#: 105644

HONESDALE, PA

Current

May 31, 2013 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 724 Main Street, Box 350, Honesdale, PA 18431

CRD#: 15340

Honesdale, PA

Past

May 31, 2013 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

ST CLOUD, MN

Past

April 1, 2013 - June 4, 2013

OSAIC SERVICES, INC.

RIA

CRD#: 133763

HONESDALE, PA

Past

October 31, 2005 - June 4, 2013

OSAIC SERVICES, INC.

CRD#: 133763

HONESDALE, PA

Past

March 8, 2001 - October 31, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

December 21, 1998 - March 14, 2001

AMERICAN GENERAL EQUITY SERVICES CORPORATION

CRD#: 5435

HOUSTON, TX

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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.

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

Delaware
(9/12/2018)

Florida
(8/21/2013)

New York
(5/31/2013)

Pennsylvania
(5/31/2013)

IAR

Pennsylvania
(1/21/2014)

Rhode Island
(12/5/2018)

Texas
(3/17/2025)

IAR

Texas
(3/17/2025)

Utah
(7/6/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/19/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/30/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/7/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/18/1998

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

Similar Advisors

Eric Berner

LPL FINANCIAL LLC

IAR

HENDERSONVILLE, TN

John Sanders

PORTUS WEALTH ADVISORS, LLC

IAR

CHARLOTTE, NC

Dale Miller

MORGAN STANLEY

IAR

Moscow, ID

We're Here To Help

Advisor Monitoring

Firm Stability Insights

William J. Carmody

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William James Carmody's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

SUNAMERICA SECURITIES, INC.

AMERICAN GENERAL EQUITY SERVICES CORPORATION

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/19/2013

Series 63

Date: 12/30/1998

SIE

Date: 10/1/2018

Series 7

Date: 7/7/2004

Series 6

Date: 12/18/1998

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Similar Advisors