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WC

William H. Carr

CRI M&A ADVISORS
Enterprise, AL 36330
Some features on this profile are disabled
CRD#: 4008717
WC

Professional summary

William Henry Carr is a registered financial professional currently at CRI M&A ADVISORS, LLC located in Enterprise, Alabama.

William is registered as a RR (Registered Representative) and started their career in finance in 1999. William has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Henry Carr'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®
None

Experience

Current

November 10, 2011 - Present

CRI M&A ADVISORS, LLC

Office #1: 901 Boll Weevil Circle Suite 200, Enterprise, AL 36330
BD
CRD#: 154996
Enterprise, AL
Past

August 27, 1999 - September 2, 2008

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
DOTHAN, AL

State Registrations and Notice Filings

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

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
Alabama
(12/1/2011)

Exams

State Security Law Exam
RR
Series 63
Date: 7/12/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/26/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/1/2011
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CM
CRI M&A ADVISORS, LLC
CARR RIGGS AND INGRAM TRANSACTION ADVISORS, LLC | CRI M&A ADVISORS, LLC | CARR, RIGGS & INGRAM TRANSACTION ADVISORS, LLC | CARR, RIGGS & INGRAM CAPITAL ADVISORS, L.L.C.

CRD#: 154996 / SEC#: , 8-68689

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
7035 Halcyon Park Drive, Montgomery, AL 36117
Mailing Address
7035 Halcyon Park Drive, Montgomery, AL 36117
Phone number
(334) 467-1092
Established
Alabama since 08/03/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CARR RIGGS & INGRAM CAPITAL, L.L.C.PARENT
CARR, WILLIAM HENRYMANAGING MEMBER, MANAGING PRINCIPAL4008717
MILLER, KIMBERLY KAYCHIEF COMPLIANCE OFFICER / AML OFFICER4175240
SIKES, JOEL EDWARDEXECUTIVE REP, CFO/FINOP AND MANAGING DIRECTOR4371575

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

CRI M&A ADVISORS, LLC

CRD#: 154996Enterprise, AL 36330

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