William H. Moeller
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 Henry Moeller, who also goes by Bill Moeller, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1967. William had worked at 8 firms and has passed the Series 65, Series 63, SIE, PC, Series 3 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2015 - March 5, 2019
RAYMOND JAMES & ASSOCIATES, INC.
May 8, 2015 - March 5, 2019
RAYMOND JAMES & ASSOCIATES, INC.
October 20, 2010 - May 19, 2015
MORGAN STANLEY
June 1, 2009 - May 19, 2015
MORGAN STANLEY
September 1, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
January 6, 2004 - September 12, 2006
UBS FINANCIAL SERVICES INC.
January 13, 1994 - September 12, 2006
UBS FINANCIAL SERVICES INC.
January 25, 1988 - January 20, 1994
MORGAN STANLEY DW INC.
February 23, 1982 - February 12, 1988
E. F. HUTTON & COMPANY INC
July 16, 1973 - February 26, 1982
MANLEY, BENNETT, MCDONALD & CO
October 2, 1967 - July 25, 1973
W H MOELLER & COMPANY INC
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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
PC
Date: 4/22/1988
AMEX Put and Call ExamSeries 1
Date: 9/17/1958
Registered Representative ExaminationCurrent Firm
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
