William D. Curtis
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 Daniel Curtis, who also goes by Will Daniel Curtis, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2003. William had worked at 3 firms and has passed the Series 66, Series 65, Series 31 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
January 10, 2006 - August 1, 2012
VICUS CAPITAL, INC.
November 30, 2005 - August 3, 2012
WALNUT STREET SECURITIES, INC.
April 4, 2003 - August 29, 2005
MORGAN STANLEY DW INC.
March 10, 2003 - August 29, 2005
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
VICUS CAPITAL, INC.
CRD#: 116021 / SEC#: 801-60628
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
VICUS CAPITAL, INC.
CRD#: 116021 / SEC#: 801-60628
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 9,058 |
| AUM (Assets Under Management) | $ 2,574,468,218 |
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.
