WS
William E. Sugg
LAUREL WEALTH ADVISORS
Charlotte, NC 28204
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CRD#: 4312125
WS
Professional summary
William Edward Sugg IV, CFP®, who also goes by Wes Sugg, is a registered financial advisor currently at LAUREL WEALTH ADVISORS, LLC located in Charlotte, North Carolina.
William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. William has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Wes Sugg
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.
1.) CORE GROUP, USA; SCOTTSDALE, AZ; GENERAL AGENT; INDEPENDENT AGENT; 1/2009; .25 HOURS/MONTH; LESS THAN 1 HOUR DURING TRADING; INDEPENDENT AGENT 2.) Deacon Investment Management LLC; Charlotte, NC; Service description: Single member LLC real estate investment company; Start date: 01/20/2017; Title: Member/Manager; Duties: Contribute capital to small real estate/residential home build/remodel and resale; Time spent: 1 hour/month. 5% of his yearly income is derived from this activity. 3.) JWC-MH LLC; Charlotte, NC; service description: real estate investment; Duties: passive investor; Title: Member; Start date: 12/1/2018. 1 hour a month is devoted to this activity during and outside of trading hours. 4.) Amanda Faith LLC; service description: real estate investment; No, 424 Hermitage Court, Charlotte, NC, 28207, , Member, 11/01/2019, 1-2, Passive investor. 1 hour a month is devoted to this activity during and outside of trading hours. 5.) SPC Phase II LLC, Investment related:No, 10000 Berkeley Forest Lan, Charlotte, NC, 28277, Rea estate, Member, 12/01/2020, Less than 1 hour per month, Passive investor 6.) Non managing partner; P.I. Energy & Infrastructure 2021, LLC, Investment Related: No; Location: 850 New Burton Rd Ste 201, Dover, DE, 19904; Description of the business: LLC formed for purpose of pooled investment in private placement (Volta) which invests in early stage electric vehicle and battery storage companies; Responsibilities Duties: passive investor; Start date with business: 2021-03-08; Hours devoted to business outside trading hours: 1; Percentage of total yearly compensation expected to be derived from the business: 1; 7.) I ONE LLC, Investment related:No, 850 New Burton Rd Ste 201, Dover, DE, 19904, EV battery pack design and manufacturing, Non managing member, 09/30/2022, 1 hour per month, Passive investor 8.) Member; PI One 22, LLC; Investment Related: No; 840 Pitt St Mt. Pleasant SC 29464 USA; Description of the business: LLC formed for joint investment in co-invest opportunity with VESF in electric vehicle battery maker Solid Power; Responsibilities Duties: Investor only; Start date with business: 2022-09-28; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 0; Percentage of total yearly compensation expected to be derived from the business: 1. 9.) Member; P.I. Energy & Infrastructure 2021, LLC; Investment Related: No; 840 Pitt St Mt. Pleasant SC 29464 USA; Description of the business: LLC formed for purpose of joint investment In Volta Energy Storage Fund I, LP (VESP). VESP is a private equity venture looking for early stage investments in processes specifically involved in electric vehicle manufacturing and development; Start date with business: 2022-03-01; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 0; Percentage of total yearly compensation expected to be derived from the business: 1 10.) Partner; Mortimer Enterprises LLC; Is the business investment related: No; Location of the business: 1355 Greenwood Cliff Ste 301 Charlotte NC 28204 United States; Responsibilities Duties: Partner/Capital contributor; Start date with business: 2023-08-01; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 1; Percentage of total yearly compensation expected to be derived from the business: 3;
CRS (Client Relationship Summary) - RIA
Click below to view William Edward Sugg IV'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®
CFP®
Start date: 2004
Experience
Current
March 15, 2007 - Present
LAUREL WEALTH ADVISORS, LLC
Office #1: 1355 Greenwood Cliff Ste. 301, Charlotte, NC 28204RIA
CRD#: 118469
Charlotte, NC
Past
January 2, 2009 - July 10, 2023
APW CAPITAL, INC.
BD
CRD#: 43814
Charlotte, NC
Past
March 9, 2007 - December 31, 2008
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
CHARLOTTE, NC
Past
August 7, 2001 - March 13, 2007
FIRST CITIZENS INVESTOR SERVICES, INC.
RIA
CRD#: 44430
RALEIGH, NC
Past
December 14, 2000 - March 13, 2007
FIRST CITIZENS INVESTOR SERVICES, INC.
BD
CRD#: 44430
RALEIGH, 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".
LW
LAUREL WEALTH ADVISORS, LLC
LAUREL WEALTH ADVISORS, LLC | MILLER MCNEISH BREEDLOVE & HEARN FINANCIAL SERVIVES, LLC | MILLER MCNEISH BREEDLOVE & HEARN FINANCIAL SERVICES, LLC
CRD#: 118469 / SEC#: 801-69151
RIA
Registered Investment Advisory firm - (5/21/2008 Approved)North Carolina
Registered Investment Advisory firm - (6/17/2008 Terminated)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.Highlighted states indicate IAR registrations
IAR
North Carolina(3/15/2007)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
LW
LAUREL WEALTH ADVISORS, LLC
LAUREL WEALTH ADVISORS, LLC | MILLER MCNEISH BREEDLOVE & HEARN FINANCIAL SERVIVES, LLC | MILLER MCNEISH BREEDLOVE & HEARN FINANCIAL SERVICES, LLC
CRD#: 118469 / SEC#: 801-69151
RIA
Registered Investment Advisory firm - (5/21/2008 Approved)North Carolina
Registered Investment Advisory firm - (6/17/2008 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1355 Greenwood Cliff Ste. 301, Charlotte, NC 28204
Mailing Address
Phone number
(704) 927-4379
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,394 |
| AUM (Assets Under Management) | $ 972,660,502 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
