William E. Warnock

CETERA INVESTMENT ADVISERS LLC

WICHITA FALLS, TX 76309

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CRD#: 4334008

Professional summary

William E Warnock is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Wichita Falls, Texas and CETERA WEALTH SERVICES, LLC located in Wichita Falls, Texas.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. William has worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1. NAME OF OTHER BUSINESS: GIWA HOLDINGS LLC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED ADDRESS NATURE OF BUSINESS: DIVERSIFY AND GROW ASSETS START DATE: 3/2021 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: PASSIVE INVESTOR 2. NAME OF OTHER BUSINESS: WARNOCK WEALTH MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED ADDRESS NATURE OF BUSINESS: FINANCIAL ADVISOR START DATE: 3/2021 POSITION/TITLE/RELATIONSHIP: WEALTH ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 20 BRIEF DESCRIPTION OF DUTIES: OWNER WITH ADVISING CLIENTS DUTIES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William E Warnock'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 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 4210 Kell Blvd Suite 200, Wichita Falls, TX 76309

RIA

CRD#: 105644

WICHITA FALLS, TX

Current

March 16, 2021 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 4210 Kell Blvd Suite 200, Wichita Falls, TX 76309

CRD#: 13572

Wichita Falls, TX

Past

April 13, 2021 - May 20, 2021

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

WICHITA FALLS, TX

Past

April 13, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

WICHITA FALLS, TX

Past

June 1, 2009 - March 2, 2021

MORGAN STANLEY

RIA

CRD#: 149777

WICHITA FALLS, TX

Past

June 1, 2009 - March 2, 2021

MORGAN STANLEY

CRD#: 149777

WICHITA FALLS, TX

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

WICHITA FALLS, TX

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

WICHITA FALLS, TX

Past

March 24, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

WICHITA FALLS, TX

Past

March 24, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

WICHITA FALLS, TX

Past

August 17, 2001 - March 30, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WICHITA FALLS, TX

Past

June 12, 2001 - March 30, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WICHITA FALLS, TX

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 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.

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

Arizona
(4/26/2021)

California
(3/17/2021)

Illinois
(5/4/2021)

Kansas
(8/31/2023)

Louisiana
(5/11/2021)

Michigan
(6/7/2024)

Oklahoma
(5/5/2021)

Texas
(4/13/2021)

IAR

Texas
(6/29/2023)

Utah
(4/13/2021)

Washington
(4/27/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/16/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 3/29/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/11/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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William E. Warnock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William E Warnock's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

SUMMIT FINANCIAL GROUP INC

CETERA WEALTH SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/16/2001

SIE

Date: 10/1/2018

Series 31

Date: 3/29/2004

Series 7

Date: 6/11/2001

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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