William F. Ross
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 Francis Ross, who also goes by Bill Ross, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1968. William had worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2015 - April 20, 2022
FFEC WEALTH PARTNERS LLC
July 7, 1998 - April 27, 2015
PERKINS, SMART & BOYD, INC.
March 2, 1998 - July 8, 1998
RBC CAPITAL MARKETS, LLC
September 3, 1991 - March 2, 1998
DAIN RAUSCHER INCORPORATED
July 6, 1988 - September 12, 1991
RODMAN & RENSHAW INC.
February 11, 1981 - July 13, 1988
LM CONSOLIDATED FINANCIAL CORP.
February 2, 1979 - March 9, 1981
NEWHARD, COOK & CO. INCORPORATED
September 12, 1978 - January 26, 1979
REINHOLDT & GARDNER INCORPORATED
March 26, 1968 - October 15, 1978
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 3/22/1968
Registered Representative ExaminationCurrent Firm
FFEC WEALTH PARTNERS LLC
CRD#: 16507 / SEC#: 801-63970, 8-34082
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,755 |
| AUM (Assets Under Management) | $ 2,371,850,816 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
