WS
William S. Shefte
SB ADVISORY
Charlotte, NC 28226
Some features on this profile are disabled
CRD#: 4350635
WS
Professional summary
William Scarr Shefte, AIF®, who also goes by Bill Shefte, William S Shefte, is a registered financial advisor currently at SB ADVISORY, LLC located in Charlotte, North Carolina and SAN BLAS SECURITIES LLC located in Chicago, Illinois.
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 10 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bill Shefte | William S Shefte
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. GOLD LEAF FINANCIAL, Investment Related, 10643 Kettering Drive, Ste #114, Charlotte, NC 28226, DBA, Owner, Since 8/25/2014. Sell securities products and services offered through SFC and SPC. 2. FINRA DR, INVESTMENT RELATED, 10643 KETTERING DRIVE, SUITE #114, CHARLOTTE, NC 28226, ACT AS AN ARBITRATOR ON CASES THAT APPEAR BEFORE FINRA, ARBITRATOR, SINCE 4/12/2007, ARBITRATION HEARINGS AND CONFERENCE CALLS. MEDIATOR, NON-INVESTMENT RELATED, 10643 KETTERING DRIVE, SUITE #114, CHARLOTTE, NC 28226, MEDIATION AND DISPUTE RESOLUTION, MEDIATOR, SINCE 10/1/2009, HELP PEOPLE FIND THEIR OWN SOLUTION TO DISPUTES VIA MEDIATION. 3. GOLD LEAF PRODUCTIONS, INC., NON-INVESTMENT RELATED, 10643 KETTERING DRIVE, SUITE #114, CHARLOTTE, NC 28226, MUSIC PUBLISHING AND CONSULTING, PRESIDENT, SINCE 3/1989, ADMINISTRATIVE AND CONSULTING AND MANAGE PUBLISHING ROYALTIES. 4. NON-VARIABLE INSURANCE SALES, INVESTMENT RELATED, 10643 KETTERING DRIVE, SUITE #114, CHARLOTTE, NC 28226, LIFE, HEALTH AND ANNUITY LICENSED AGENT, SINCE 3/2001, DEVOTED TIME LESS THAN AN HOUR A MONTH, ACCOUNT EVALUATION AND FINANCIAL ASSESSMENT REGARDING LIFE INSURANCE. 5. Sale of Medicare and long term care insurance products. Start date: 9/9/19, approx. 1-2 hrs/mo. 6. Charlotte Southern Lions Club - Board member. Duties include recruiting new members and raising funds for the organization. Start date: 3/14/17, served as President from June 2018 through June 2022. Approx. 3 hrs/mo, none during mkt hrs. INV REL: N 7. President and Chairman - Charlotte Southern Lions Foundation, Inc. The Foundation will raise funds primarily for the benefit of the blind, the visually impaired and the homeless; as well as other charitable causes. Start date: 9/1/24, approx. 1 hr/mo. INV REL: N
CRS (Client Relationship Summary) - RIA
Click below to view William Scarr Shefte'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®
Experience
Current
May 28, 2025 - Present
SB ADVISORY, LLC
Office #1: 10643 Kettering Drive Suite 114, Charlotte, NC 28226RIA
CRD#: 154680
Charlotte, NC
Current
May 15, 2025 - Present
SAN BLAS SECURITIES LLC
Office #1: 233 S Wacker Dr Suite 4400, Chicago, IL 60606BD
CRD#: 290605
CHICAGO, IL
Past
January 11, 2018 - April 15, 2025
SPC
RIA
CRD#: 110692
CHARLOTTE, NC
Past
January 11, 2018 - April 15, 2025
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
CHARLOTTE, NC
Past
August 9, 2017 - December 31, 2017
CENTAURUS FINANCIAL, INC.
RIA
CRD#: 30833
CHARLOTTE, NC
Past
January 4, 2016 - December 31, 2017
CENTAURUS FINANCIAL, INC.
BD
CRD#: 30833
CHARLOTTE, NC
Past
August 27, 2014 - November 16, 2015
SECURITIES AMERICA, INC.
BD
CRD#: 10205
CHARLOTTE, NC
Past
July 1, 2003 - August 25, 2014
R.M. STARK & CO., INC.
BD
CRD#: 7612
LAKE WORTH BEACH, FL
Past
May 17, 2002 - June 18, 2003
SYNERGY INVESTMENT GROUP, LLC
BD
CRD#: 46035
CHARLOTTE, NC
Past
October 8, 2001 - March 6, 2002
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
March 1, 2001 - September 12, 2001
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
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".
SA
SB ADVISORY, LLC
ADVANCED ASSET SOLUTIONS, LLC | TREESE INVESTMENTS LLC | THE HENDERSON FINANCIAL GROUP & (HYACINTHHENDERSON.COM) | THE FINANCIAL ARCHITECTS (FINANCIALARCHITECTS-USA.COM) | SUMMIT ROCKWALL WEALTH MANAGERS | SMITH BERNSTEIN | SHEBAR FINANCIAL, LLC | SB ADVISORY, LLC | SANTA FE WEALTH ADVISORS | ROBERT BULLOCH WEALTH MANAGEMENT LLC (ROBERTBULLOCH.COM) | RNL FINANCIAL, LLC | RCA ADVISORY SERVICES, LLC | PRO FINANCIAL GROUP, LLC | PNW ADVISORY | NERGARD WEALTH MANAGEMENT LLC | MOHLMAN WEALTH MANAGEMENT | IFS ADVISORY, LLC | GREEN STREET WEALTH ADVISORY | GRABE FINANCIAL SERVICES INC | FERIS FINANCIAL, LLC | EM FINANCIAL SERVICES | DEEMER WEALTH MANAGEMENT, LLC | CORTO FINANCIAL GROUP, LLC | CLARITY CAPITAL MANAGEMENT CORP | BRYAN EDWARDS WEALTH MANAGEMENT | BRENNAN FRANCIS | BOWMAN WEALTH MANAGEMENT LLC | ARNETT FINANCIAL SERVICES GROUP, LLC | ARBOR WEALTH MANAGEMENT | ADVANCED FINANCIAL CONCEPTS, INC.
CRD#: 154680 / SEC#: 801-77380
RIA
Registered Investment Advisory firm - (12/4/2012 Approved)Arkansas
Registered Investment Advisory firm - (12/31/2012 Terminated)California
Registered Investment Advisory firm - (12/31/2012 Terminated)Colorado
Registered Investment Advisory firm - (1/3/2013 Terminated)Florida
Registered Investment Advisory firm - (12/31/2012 Terminated)Indiana
Registered Investment Advisory firm - (12/31/2012 Terminated)Maryland
Registered Investment Advisory firm - (12/31/2012 Terminated)Missouri
Registered Investment Advisory firm - (8/19/2014 Terminated)Nevada
Registered Investment Advisory firm - (12/31/2012 Terminated)New Jersey
Registered Investment Advisory firm - (1/2/2013 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2012 Terminated)North Carolina
Registered Investment Advisory firm - (12/31/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/31/2012 Terminated)Puerto Rico
Registered Investment Advisory firm - (12/31/2012 Terminated)Tennessee
Registered Investment Advisory firm - (12/31/2012 Terminated)Texas
Registered Investment Advisory firm - (12/3/2013 Terminated)Utah
Registered Investment Advisory firm - (12/31/2012 Terminated)Virginia
Registered Investment Advisory firm - (12/31/2012 Terminated)West Virginia
Registered Investment Advisory firm - (12/31/2012 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.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
Florida(5/15/2025)
RR
Georgia(5/15/2025)
RR
North Carolina(5/15/2025)
IAR
North Carolina(5/28/2025)
RR
South Carolina(5/15/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SA
SB ADVISORY, LLC
ADVANCED ASSET SOLUTIONS, LLC | TREESE INVESTMENTS LLC | THE HENDERSON FINANCIAL GROUP & (HYACINTHHENDERSON.COM) | THE FINANCIAL ARCHITECTS (FINANCIALARCHITECTS-USA.COM) | SUMMIT ROCKWALL WEALTH MANAGERS | SMITH BERNSTEIN | SHEBAR FINANCIAL, LLC | SB ADVISORY, LLC | SANTA FE WEALTH ADVISORS | ROBERT BULLOCH WEALTH MANAGEMENT LLC (ROBERTBULLOCH.COM) | RNL FINANCIAL, LLC | RCA ADVISORY SERVICES, LLC | PRO FINANCIAL GROUP, LLC | PNW ADVISORY | NERGARD WEALTH MANAGEMENT LLC | MOHLMAN WEALTH MANAGEMENT | IFS ADVISORY, LLC | GREEN STREET WEALTH ADVISORY | GRABE FINANCIAL SERVICES INC | FERIS FINANCIAL, LLC | EM FINANCIAL SERVICES | DEEMER WEALTH MANAGEMENT, LLC | CORTO FINANCIAL GROUP, LLC | CLARITY CAPITAL MANAGEMENT CORP | BRYAN EDWARDS WEALTH MANAGEMENT | BRENNAN FRANCIS | BOWMAN WEALTH MANAGEMENT LLC | ARNETT FINANCIAL SERVICES GROUP, LLC | ARBOR WEALTH MANAGEMENT | ADVANCED FINANCIAL CONCEPTS, INC.
CRD#: 154680 / SEC#: 801-77380
RIA
Registered Investment Advisory firm - (12/4/2012 Approved)Arkansas
Registered Investment Advisory firm - (12/31/2012 Terminated)California
Registered Investment Advisory firm - (12/31/2012 Terminated)Colorado
Registered Investment Advisory firm - (1/3/2013 Terminated)Florida
Registered Investment Advisory firm - (12/31/2012 Terminated)Indiana
Registered Investment Advisory firm - (12/31/2012 Terminated)Maryland
Registered Investment Advisory firm - (12/31/2012 Terminated)Missouri
Registered Investment Advisory firm - (8/19/2014 Terminated)Nevada
Registered Investment Advisory firm - (12/31/2012 Terminated)New Jersey
Registered Investment Advisory firm - (1/2/2013 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2012 Terminated)North Carolina
Registered Investment Advisory firm - (12/31/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/31/2012 Terminated)Puerto Rico
Registered Investment Advisory firm - (12/31/2012 Terminated)Tennessee
Registered Investment Advisory firm - (12/31/2012 Terminated)Texas
Registered Investment Advisory firm - (12/3/2013 Terminated)Utah
Registered Investment Advisory firm - (12/31/2012 Terminated)Virginia
Registered Investment Advisory firm - (12/31/2012 Terminated)West Virginia
Registered Investment Advisory firm - (12/31/2012 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3424 Peachtree Road Ne Suite 2200, Atlanta, GA 30326-1184
Mailing Address
Phone number
(404) 704-0406
Established
Firm type
Fiscal year end
# of Employees
29
SEC notice filing (47 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,540 |
| AUM (Assets Under Management) | $ 404,771,341 |
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.
