WC
William D. Cotton
FORTRESS PRIVATE LEDGER
Alexandria, VA
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CRD#: 4177769
WC
Professional summary
William Dean Cotton, who also goes by Bill Dean Cotton, is a registered financial advisor currently at FORTRESS PRIVATE LEDGER, LLC located in Alexandria, Virginia.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. William has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bill Dean Cotton
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.
11/2024 - Collegiate Financial Group - Investment Related - 204 Caughman Farms Lane Suite 303 Lexington, SC 29072 - DBA name - Start Date 11/2024 - Partner - 40 hours/week during trading hours - Financial Planning
CRS (Client Relationship Summary) - RIA
Click below to view William Dean Cotton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Dean Cotton'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®
NoneExperience
Current
November 13, 2024 - Present
FORTRESS PRIVATE LEDGER, LLC
RIA
BD
CRD#: 290298
Alexandria, VA
Current
November 13, 2024 - Present
FORTRESS PRIVATE LEDGER, LLC
Office #1: 3110 Edwards Mill Rd Suite 200, Raleigh, NC 27612Office #2: 3110 Edwards Mill Rd, Ste 200, Raleigh, NC 27612Office #3: 3110 Edwards Mill Rd Ste 200, Raleigh, NC 27612RIA
BD
CRD#: 290298
Raleigh, NC
Past
June 24, 2024 - October 28, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
ROCKVILLE, MD
Past
September 8, 2017 - October 28, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
ROCKVILLE, MD
Past
March 31, 2016 - July 26, 2017
S2K FINANCIAL LLC
BD
CRD#: 248786
ORLANDO, FL
Past
July 30, 2009 - December 9, 2015
REALTY CAPITAL SECURITIES, LLC
BD
CRD#: 145454
NEW YORK CITY, NY
Past
October 1, 2002 - August 3, 2009
PACIFIC SELECT DISTRIBUTORS, LLC
BD
CRD#: 4452
NEWPORT BEACH, CA
Past
July 24, 2002 - October 18, 2002
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
OMAHA, NE
Past
May 22, 2000 - June 4, 2002
EQUITABLE DISTRIBUTORS, LLC
BD
CRD#: 25900
CHARLOTTE, NC
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".
FP
FORTRESS PRIVATE LEDGER, LLC
ABUNDANCE NC | THE JEFFREY GROUP | JG3, LLC | JAVELIN 19 OPPORTUNITY ZONE ADVISORS | HOMETOWN RETIREMENT STRATEGIES | FORTRESS RETIREMENT PLAN ADVISORS | FORTRESS PRIVATE LEDGER, LLC | FORTRESS PRIVATE LEDGER | FORTRESS PHYSICIANS | FORTRESS INVESTMENT MANAGEMENT | FORTRESS FINANCIAL PARTNERS | FORTRESS ADVISOR NETWORK | COLLEGIATE FINANCIAL GROUP | BEST INTEREST WEALTH PLANNING, LLC | AXIOM CONSULTING GROUP | ARCHER
CRD#: 290298 / SEC#: 801-118075, 8-70027
RIA
Registered Investment Advisory firm - SEC (2/18/2020 Approved)North Carolina
Registered Investment Advisory firm - SEC (2/28/2020 Terminated)Texas
Registered Investment Advisory firm - SEC (2/27/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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.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
Arizona(11/26/2024)
IAR
Arizona(11/26/2024)
IAR
District of Columbia(12/20/2024)
RR
District of Columbia(1/3/2025)
RR
Maryland(11/13/2024)
IAR
Maryland(11/13/2024)
RR
Mississippi(11/18/2024)
IAR
Mississippi(11/20/2024)
IAR
New Hampshire(11/14/2024)
RR
New Hampshire(12/6/2024)
RR
Oklahoma(11/14/2024)
IAR
Oklahoma(11/14/2024)
IAR
Texas(11/13/2024)
RR
Texas(11/14/2024)
RR
Virginia(11/13/2024)
IAR
Virginia(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FP
FORTRESS PRIVATE LEDGER, LLC
ABUNDANCE NC | THE JEFFREY GROUP | JG3, LLC | JAVELIN 19 OPPORTUNITY ZONE ADVISORS | HOMETOWN RETIREMENT STRATEGIES | FORTRESS RETIREMENT PLAN ADVISORS | FORTRESS PRIVATE LEDGER, LLC | FORTRESS PRIVATE LEDGER | FORTRESS PHYSICIANS | FORTRESS INVESTMENT MANAGEMENT | FORTRESS FINANCIAL PARTNERS | FORTRESS ADVISOR NETWORK | COLLEGIATE FINANCIAL GROUP | BEST INTEREST WEALTH PLANNING, LLC | AXIOM CONSULTING GROUP | ARCHER
CRD#: 290298 / SEC#: 801-118075, 8-70027
RIA
Registered Investment Advisory firm - SEC (2/18/2020 Approved)North Carolina
Registered Investment Advisory firm - SEC (2/28/2020 Terminated)Texas
Registered Investment Advisory firm - SEC (2/27/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
3110 Edwards Mill Rd, Ste 200 Suite 200, Raleigh, NC 27612
Mailing Address
3110 Edwards Mill Rd, Ste 200, Raleigh, NC 27612
Phone number
(919) 322-2762
Established
North Carolina since 11/17/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
26
SEC notice filing (19 States and Territories)
FINRA licenses (47 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,115 |
| AUM (Assets Under Management) | $ 346,106,253 |
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.
