William T. Roach

DOMINION CAPITAL WEALTH ADVISORS

Norfolk, VA 23510

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CRD#: 4414814

Professional summary

William Terrial Roach JR, who also goes by Bill Roach, William Terrial Roach, Bill Roach, is a registered financial advisor currently at DOMINION CAPITAL WEALTH ADVISORS located in Norfolk, Virginia and YR SECURITIES LLC located in Norfolk, Virginia.

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 4 firms and has passed the Series 66, Series 99TO, SIE, Series 79, Series 31, Series 7, Series 24 and Series 28 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bill Roach | William Terrial Roach | Bill Roach

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.

117 Tazewell SP MM LLC, 309 W Bute St, Norfolk VA 23507, 2hr/month, Member, 12/11/2017, Syndicate tax credits 161 Granby SP MM LLC, 309 W Bute St, Norfolk VA 23507, 2hr/month, Member, 8/31/2017, Syndicate tax credits 403 Salem Investor MM LLC, 309 W Bute St, Norfolk VA 23507, 6hr/month, Member, 10/4/2016, Syndicate tax credits Campbell Investor LLC, 309 W Bute St, Norfolk VA 23507, 2hr/month, Member, 10/1/2020, syndicate tax credits Sessions Hotel SP LLC, 309 W Bute St, Norfolk VA 23507, 2hr/month, Member, 1/1/2020, syndicate tax credits Westover 2021, 309 W Bute St, Norfolk VA 23507, 2hr/month, Member, 11/1/2020, syndicate tax credits Dominion Capital Partners LLC, 711 W 21st St, Norfolk VA 23517, 2hr/month, Member, 6/17/2015, Holding company for building lease and overhead expenses 309 WBS LLC, 309 W Bute St, Norfolk VA 23507, 10hr/month, Member, 8/1/2020, office building Hayden Investor MM LLC, 309 W Bute St, Norfolk VA 23507, 2hr/month, Member, 7/26/2017, Syndicate tax credits Surryside Investment, PO Box 266 Surry, VA, 2hr/month, Member, 1/1/2006, Apartment rentals and real estate holding Tazewell SP MM LLC, 309 W Bute St, Norfolk VA 23507, Member, 1hr/month, 12/11/2017, Syndicate tax credits Liberty Heights SP MM LLC, 309 W Bute St, Norfolk VA 23507, 8hr/month, September 2018, Member, Syndicate tax credits WWI LLC, 309 W Bute St, Norfolk VA 23517, 60hr/month, Member, 11/03/2014, Investment Advisory Firm YR Securities, 309 W Bute St, Norfolk VA 23517, 60hr/month, Member, 11/10/2014, FINRA member broker dealer Leeward Venture Investor SPMM LLC, 309 W Bute St, Norfolk VA 23507, 1hr/month, Member, 6/17/2019, syndicate tax credits Commonwealth Advisors Capital LLC, 309 W Bute St, Norfolk VA 23507, 1hr/month, Member, 7/1/2019, syndicate tax credits CAC 2021 LLC, 309 W Bute St, Norfolk VA 23507,1 hr/month, Member, 1/22/2021, syndicate tax credits

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Terrial Roach JR'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®

None

Experience

Current

July 2, 2015 - Present

DOMINION CAPITAL WEALTH ADVISORS

Office #1: 309 W Bute St, Norfolk, VA 23510

RIA

CRD#: 174030

Norfolk, VA

Current

September 28, 2015 - Present

YR SECURITIES LLC

Office #1: 309 W Bute St, Norfolk, VA 23510Office #2: 309 W Bute St, Norfolk, VA 23510

CRD#: 174708

Norfolk, VA

Past

May 12, 2010 - July 6, 2015

PROSPERA FINANCIAL SERVICES, INC.

RIA

CRD#: 10740

NORFOLK, VA

Past

May 10, 2010 - July 6, 2015

PROSPERA FINANCIAL SERVICES, INC.

CRD#: 10740

NORFOLK, VA

Past

January 14, 2002 - May 12, 2010

MICG INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 104028

NORFOLK, VA

Past

August 16, 2001 - May 12, 2010

MICG INVESTMENT MANAGEMENT, LLC

CRD#: 104028

NORFOLK, VA

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

Alabama
(4/1/2025)

Arizona
(2/14/2025)

Florida
(7/31/2017)

Illinois
(3/11/2025)

Louisiana
(1/28/2025)

Massachusetts
(3/4/2025)

Minnesota
(1/26/2025)

New Hampshire
(6/11/2020)

North Carolina
(1/29/2025)

Oregon
(2/19/2019)

Texas
(11/10/2016)

IAR

Virginia
(7/2/2015)

Virginia
(10/22/2015)

Washington
(1/27/2025)

Wisconsin
(3/18/2019)

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: 12/19/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 8/25/2015

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 31

Date: 8/20/2014

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/13/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/27/2015

General Securities Principal Examination

Principal/Supervisory Exam

Series 28

Date: 6/26/2015

Introducing Broker/Dealer Financial Operations Principal Examination

SRO Registrations

FINRA

Current Firm

DOMINION CAPITAL WEALTH ADVISORS

DOMINION CAPITAL | WWI LLC | WWI INC | DOMINION CAPITAL WEALTH ADVISORS

CRD#: 174030 / SEC#:

Texas

Registered Investment Advisory firm - (11/29/2017 Terminated)

Virginia

Registered Investment Advisory firm - (6/24/2015 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

309 W Bute St, Norfolk, VA 23510

Mailing Address

Phone number

(757) 961-0067

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	180
AUM (Assets Under Management)	$ 58,700,000

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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Firm Stability Insights

William T. Roach

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Terrial Roach JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

YR SECURITIES LLC

PROSPERA FINANCIAL SERVICES, INC.

PROSPERA FINANCIAL SERVICES, INC.

MICG INVESTMENT MANAGEMENT, LLC

MICG INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/19/2001

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 79

Date: 8/25/2015

Series 31

Date: 8/20/2014

Series 7

Date: 8/13/2001

Series 24

Date: 7/27/2015

Series 28

Date: 6/26/2015

FINRA

Current Firm

DOMINION CAPITAL WEALTH ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DOMINION CAPITAL WEALTH ADVISORS

TRUST BUT VERIFY

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