William E. Besfer
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 Edward Besfer, who also goes by Ed Besfer, Eddy Besfer, William Edward Besfer, William Besfer, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2003. William had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2020 - March 11, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
July 30, 2020 - March 11, 2025
FIDELITY BROKERAGE SERVICES LLC
December 16, 2019 - June 25, 2020
CHARLES SCHWAB & CO., INC.
May 7, 2014 - June 25, 2020
CHARLES SCHWAB & CO., INC.
August 31, 2012 - April 4, 2014
TRANSAMERICA CAPITAL, LLC
February 2, 2012 - August 27, 2012
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
August 24, 2010 - February 13, 2012
INVEST FINANCIAL CORPORATION
April 20, 2004 - September 1, 2010
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
August 28, 2003 - September 9, 2003
SCHIELD SECURITIES LLC
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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
