William S. Bennett
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 Stewart Bennett, who also goes by Bill S Bennett, Bill Bennett, William S Bennett, William S. Bennett Sr., 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, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2018 - March 12, 2021
CETERA INVESTMENT ADVISERS LLC
May 3, 2018 - March 12, 2021
CETERA INVESTMENT SERVICES LLC
March 5, 2015 - May 11, 2016
THE HUNTINGTON INVESTMENT COMPANY
March 5, 2015 - May 11, 2016
THE HUNTINGTON INVESTMENT COMPANY
July 23, 2014 - November 20, 2014
LPL FINANCIAL LLC
August 30, 2012 - November 20, 2014
LPL FINANCIAL LLC
January 21, 2005 - August 31, 2011
FIFTH THIRD SECURITIES, INC.
June 6, 2003 - December 17, 2004
MBSC, LLC
May 22, 2001 - June 6, 2003
BNY MELLON CAPITAL MARKETS, LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
