William Chapoton Roney Iii
Professional Summary
William Chapoton Roney III, who also goes by William Chapoton Roney, was a registered financial advisor. William was a previously registered financial professional and started their career in finance 1974 - 2013. William had worked at 5 firms and has passed the Series 65, Series 63, SIE, PC, Series 1, Series 10, Series 9 and Series 40 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
William Chapoton Roney
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
52 years in the financial services industry
Current & Past Employments
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Current Firm
ATLANTA CONSULTING GROUP | MORGAN KEEGAN & COMPANY, LLC | MORGAN KEEGAN & COMPANY, INC. | MORGAN KEEGAN
Contact Information
Established
Tennessee since 07/29/2013Firm Type
Limited Liability CompanyFiscal Year End
SeptemberDirect owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | PARENT | — |
| BARKLEY, JOSEPH CLARENCE | OPERATIONS MANAGER - MANAGING DIRECTOR | 1373033 |
| BEAUPREZ, JACQUELINE ANN | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 4075012 |
| CARSON, JOHN CONGLETON JR | CEO | 1307784 |
| FRANZ, RICHARD BONAFIELD II | CHIEF FINANCIAL OFFICER & TREASURER | 1402348 |
| MATECKI, PAUL LOUIS | GENERAL COUNSEL | 1173122 |
Disclosures
Regulatory Event
86Civil Event
9Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
PC — AMEX Put and Call Exam
Passed Aug 1977Series 1 — Registered Representative Examination
Passed May 1974Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Apr 2003About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Apr 2003About the Series 9 examSeries 40 — Registered Principal Examination
Passed Aug 1978Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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