WW
William E. Warnock
CETERA INVESTMENT ADVISERS
WICHITA FALLS, TX 76309
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CRD#: 4334008
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William E WarnockCETERA INVESTMENT ADVISERS
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.
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 3. NAME OF OTHER BUSINESS: WILLIAM WARNOCK; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TRUST ADVISOR SERVICES; START DATE: 03/2024; POSITION/TITLE/RELATIONSHIP: TRUST ADVISOR; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: ADMINISTRATIVE OVERSIGHT OF THE TRUST, THE ABILITY TO REMOVE OR REPLACE TRUSTEES, AND OTHER LIMITED FIDUCIARY POWERS AS DEFINED IN THE TRUST DOCUMENT, INVESTMENT ADVISORY SERVICES REMAIN GOVERNED BY CETERA ADVISORY AGREEMENTS;
CRS (Client Relationship Summary) - RIA
Click below to view William E Warnock'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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 4210 Kell Blvd Suite 200, Wichita Falls, TX 76309RIA
CRD#: 105644
WICHITA FALLS, TX
Current
March 16, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 4210 Kell Blvd Suite 200, Wichita Falls, TX 76309BD
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
BD
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
BD
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.
BD
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
BD
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.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(4/26/2021)
RR
California(3/17/2021)
RR
Colorado(8/17/2026)
RR
Illinois(5/4/2021)
RR
Kansas(8/31/2023)
RR
Louisiana(5/11/2021)
RR
Michigan(6/7/2024)
RR
Ohio(3/16/2026)
RR
Oklahoma(5/5/2021)
RR
Rhode Island(6/17/2026)
RR
Tennessee(3/18/2026)
RR
Texas(4/13/2021)
IAR
Texas(6/29/2023)
RR
Utah(4/13/2021)
RR
Washington(4/27/2021)
Exams
What does exam status mean?
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Loading...
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
10,251
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 813,961 |
| AUM (Assets Under Management) | $ 256,813,748,739 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 |
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.
