William L. Tatro

JOULE FINANCIAL

LEXINGTON, KY 40513

Some features on this profile are disabled

CRD#: 4324021

Professional summary

William Lewis Tatro V, who also goes by William Quint Tatro V, William Lewis Tatro V, William Lewis Tatro V 5th, is a registered financial advisor currently at JOULE FINANCIAL, LLC located in Lexington, Kentucky.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. William has worked at 7 firms and has passed the Series 66, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

William Quint Tatro V | William Lewis Tatro V | William Lewis Tatro V 5th

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.

MR. WILLIAM QUINT TATRO, PRESIDENT, IS PART-OWNER OF YBVENTURES LLC, A MANUFACTURING COMPANY. HE PERIODICALLY APPEARS AS A NON-COMPENSATED GUEST ON FINANCIAL TELEVISION NETWORK CNBC AND LOCAL RADIO (590 WVLK AM & 630 WLAP), WRITES FOR FORBES.COM. He also teaches as an adjunct professor for the University of Kentucky, finance department. IT IS ANTICIPATED THAT MR. TATRO WILL SPEND APPROXIMATELY 10% OR LESS OF HIS TIME IN THESE CAPACITIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Lewis Tatro V'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

June 16, 2022 - Present

JOULE FINANCIAL, LLC

Office #1: 998 Governors Ln Suite 325, Lexington, KY 40513

RIA

CRD#: 320791

LEXINGTON, KY

Past

October 7, 2008 - June 29, 2022

JOULE FINANCIAL

RIA

CRD#: 133783

LEXINGTON, KY

Past

June 18, 2007 - November 14, 2007

JOULE FINANCIAL

RIA

CRD#: 133783

BRADENTON, FL

Past

August 18, 2005 - May 24, 2007

SHARK ASSET MANAGEMENT, INC.

RIA

CRD#: 136118

LEXINGTON, KY

Past

April 1, 2005 - June 28, 2006

JOULE FINANCIAL

RIA

CRD#: 133783

LEXINGTON, KY

Past

November 18, 2003 - December 16, 2005

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

LEXINGTON, KY

Past

August 1, 2003 - November 18, 2003

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

July 30, 2003 - March 31, 2005

EAGLE STEWARD, LTD.

RIA

CRD#: 125984

LEXINGTON, KY

Past

September 11, 2001 - August 1, 2003

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

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".

JOULE FINANCIAL, LLC

CRD#: 320791 / SEC#: 801-125024

RIA

Registered Investment Advisory firm - (5/13/2022 Approved)

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

Kentucky
(7/12/2022)

IAR

Texas
(6/16/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/31/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/1/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/10/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/17/2004

General Securities Principal Examination

Current Firm

JOULE FINANCIAL, LLC

CRD#: 320791 / SEC#: 801-125024

RIA

Registered Investment Advisory firm - (5/13/2022 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

998 Governors Ln Suite 325, Lexington, KY 40513

Mailing Address

Phone number

(859) 881-0777

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (3/20/2025)

Regulatory assets under management

Total Number of Accounts	2,065
AUM (Assets Under Management)	$ 411,243,415

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.

Similar Advisors

Ginger Ford

RAYMOND JAMES FINANCIAL SERVICES, INC.

Lexington, KY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

William L. Tatro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Lewis Tatro V's CRS (Customer Relationship Summary).

Certified licenses

Experience

JOULE FINANCIAL

JOULE FINANCIAL

SHARK ASSET MANAGEMENT, INC.

JOULE FINANCIAL

FIRST ALLIED SECURITIES, INC.

WALNUT STREET SECURITIES, INC.

EAGLE STEWARD, LTD.

NATHAN & LEWIS SECURITIES, INC.

Primary Firm SEC Registration

JOULE FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/31/2003

Series 63

Date: 10/1/2001

Series 7

Date: 9/10/2001

Series 24

Date: 6/17/2004

Current Firm

JOULE FINANCIAL, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

JOULE FINANCIAL, LLC

TRUST BUT VERIFY

Similar Advisors