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WT

William L. Tatro

Some features on this profile are disabled
CRD#: 4324021
WT

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 Lewis Tatro V, who also goes by William Quint Tatro V, William Lewis Tatro V, William Lewis Tatro V 5th, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 2001. William had worked at 7 firms and has passed the Series 66, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 16, 2022 - May 5, 2026

JOULE FINANCIAL, LLC

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.

BD
CRD#: 32444
LEXINGTON, KY
Past

August 1, 2003 - November 18, 2003

WALNUT STREET SECURITIES, INC.

BD
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.

BD
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".
JF
JOULE FINANCIAL, LLC
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/31/2003
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/1/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/10/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/17/2004
General Securities Principal Examination

Current Firm

JF
JOULE FINANCIAL, LLC
JOULE FINANCIAL, LLC

CRD#: 320791 / SEC#: 801-125024

RIA
Registered Investment Advisory firm - (5/13/2022 Approved)
PREMIUM
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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
7

SEC notice filing (12 States and Territories)

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

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 Accounts2,065
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.

Company Information

JOULE FINANCIAL, LLC

CRD#: 320791

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