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WR

William A. Rack

WAVELAND CAPITAL PARTNERS LLC
Irvine, CA 92612
Some features on this profile are disabled
CRD#: 4285662
WR

Professional summary

William Alexander Rack JR is a registered financial professional currently at WAVELAND CAPITAL PARTNERS LLC located in Irvine, California.

William is registered as a RR (Registered Representative) and started their career in finance in 2003. William has worked at 2 firms and has passed the Series 63, Series 22TO, SIE and Series 22 exams.

top-8-questions

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 Alexander Rack JR's CRS (Customer Relationship Summary).
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 5, 2021 - Present

WAVELAND CAPITAL PARTNERS LLC

Office #1: 19800 Macarthur Blvd Suite 650, Irvine, CA 92612
BD
CRD#: 40054
Irvine, CA
Past

March 17, 2003 - April 18, 2005

CCO CAPITAL, LLC

BD
CRD#: 31147
PHOENIX, AZ

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
Arizona
(11/9/2021)
RR
California
(11/5/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 9/20/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 22TO
Date: 11/4/2021
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/26/2021
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 22
Date: 3/12/2003
Direct Participation Programs Representative Examination
SRO Registrations
RR
FINRA

Current Firm

WC
WAVELAND CAPITAL PARTNERS LLC
MERCER GLOBAL SECURITIES LLC | WAVELAND SECURITIES LLC | WAVELAND CAPITAL PARTNERS LLC

CRD#: 40054 / SEC#: , 8-48962

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
19800 Macarthur Blvd Suite 650, Irvine, CA 92612
Mailing Address
19800 Macarthur Blvd Suite 650, Irvine, CA 92612
Phone number
(949) 706-5000
Established
Delaware since 03/28/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
WAVELAND CAPITAL GROUP LLCOWNER
DOOLEY, ADAM JAMESPRESIDENT2547292
IRVANI, SAMFINOP4298335
PRINCE, TRISHA ANNECHIEF COMPLIANCE OFFICER2941980

Disclosures

Arbitration2

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

WAVELAND CAPITAL PARTNERS LLC

CRD#: 40054Irvine, CA 92612

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