William G. Dunham

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CRD#: 4426329

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 George Dunham, who also goes by Bill Dunham, Norton Dunham, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 2001. William had worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bill Dunham | Norton Dunham

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) Various outside insurance companies; not investment related; address various; insurance agent; 11/2/2018; 2 hrs/month; 1 hr during trading; selling life insurance and long-term care insurance. 2) Hoover MSP LLC; investment related; 307 New Bethel Rd. Piney Flats, TN; receive and administer funds from Firm's buyout plan that covers the cost of production for the weekly radio program / podcast; Manager; Manager; 1/1/2021, 24 hrs/month; 15 hrs during securities trading hours; bookkeeping and other administrative activities related to the Hoover MSP LLC.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 6, 2021 - January 9, 2024

GUARDIAN WEALTH ADVISORS, LLC

RIA

CRD#: 305412

JOHNSON CITY, TN

Past

May 27, 2016 - July 1, 2021

OSAIC ADVISORY SERVICES, LLC

RIA

CRD#: 171070

Johnson City, TN

Past

May 27, 2016 - December 31, 2020

TRIAD ADVISORS LLC

CRD#: 25803

Johnson City, TN

Past

January 1, 2008 - June 1, 2016

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

JOHNSON CITY, TN

Past

January 1, 2008 - June 1, 2016

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

JOHNSON CITY, TN

Past

November 2, 2005 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

JOHNSON CITY, TN

Past

September 7, 2001 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

JOHNSON CITY, TN

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".

GUARDIAN WEALTH ADVISORS, LLC

CRD#: 305412 / SEC#: 801-118121

RIA

Registered Investment Advisory firm - (2/24/2020 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/31/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/4/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/6/2001

General Securities Representative Examination

Current Firm

GUARDIAN WEALTH ADVISORS, LLC

CRD#: 305412 / SEC#: 801-118121

RIA

Registered Investment Advisory firm - (2/24/2020 Approved)

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Contact information

Main Address

4270 The Circle At North Hills Street Suite 200, Raleigh, NC 27609

Mailing Address

Phone number

(919) 874-1900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GWA FORM ADV PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	1,683
AUM (Assets Under Management)	$ 2,051,517,525

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 G. Dunham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OSAIC ADVISORY SERVICES, LLC

TRIAD ADVISORS LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

GUARDIAN WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/31/2005

Series 63

Date: 10/4/2001

SIE

Date: 10/1/2018

Series 7

Date: 9/6/2001

Current Firm

GUARDIAN WEALTH ADVISORS, LLC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GUARDIAN WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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