William E. Utes

UTES WEALTH STRATEGIES

Antioch, IL 60002

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CRD#: 451991

Professional summary

William Edward Utes is a registered financial advisor currently at UTES WEALTH STRATEGIES located in Antioch, Illinois.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1969. William has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 1, Series 4 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

INSURANCE SALES POSITION: Advisor NATURE: I occassionally ask if my clients or prospects if they have insurance and would like a review. If they do, I go through the process with one of our approved vendors. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/23/2011 ADDRESS: 2593 N. Mallard Lane, Round Lake Beach IL 60073, United States DESCRIPTION: As part of my business as an investment advisor, I ask my clients/prospects if they have insurance and would like a review.

Blog Corner

CRS (Client Relationship Summary) - RIA

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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

December 3, 2019 - Present

UTES WEALTH STRATEGIES

Office #1: 1824 White Lake Drive, Antioch, IL 60002

RIA

CRD#: 300310

Antioch, IL

Past

July 30, 2007 - December 2, 2019

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

ROUND LAKE BEACH, IL

Past

July 18, 2007 - December 2, 2019

SECURITIES AMERICA, INC.

CRD#: 10205

ROUND LAKE BEACH, IL

Past

June 6, 2005 - July 24, 2007

BROOKSTREET SECURITIES CORPORATION

RIA

CRD#: 14667

ROUND LAKE BEACH, IL

Past

June 4, 2003 - July 24, 2007

BROOKSTREET SECURITIES CORPORATION

CRD#: 14667

ROUND LAKE BEACH, IL

Past

April 11, 2002 - June 3, 2003

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

ROUND LAKE BEACH, IL

Past

January 3, 1997 - June 3, 2003

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

November 7, 1980 - December 17, 1996

GILFORD SECURITIES INCORPORATED

CRD#: 8076

NEW YORK, NY

Past

January 31, 1980 - November 27, 1980

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

October 1, 1973 - January 31, 1980

BLYTH EASTMAN DILLON & CO. INCORPORATED

CRD#: 6361

Past

October 22, 1969 - October 24, 1973

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

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.

Highlighted states indicate IAR registrations

IAR

Illinois
(12/3/2019)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/29/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/10/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 10/21/1969

Registered Representative Examination

Principal/Supervisory Exam

Series 4

Date: 10/3/1996

Registered Options Principal Examination

Principal/Supervisory Exam

Series 40

Date: 12/27/1978

Registered Principal Examination

Current Firm

UTES WEALTH STRATEGIES

UTES WEALTH STRATEGIES | UTES, WILLIAM EDWARD

CRD#: 300310 / SEC#:

Illinois

Registered Investment Advisory firm - (12/3/2019 Approved)

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Contact information

Main Address

1824 White Lake Drive, Antioch, IL 60002

Mailing Address

Phone number

(847) 219-4099

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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William E. Utes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Edward Utes's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

BROOKSTREET SECURITIES CORPORATION

BROOKSTREET SECURITIES CORPORATION

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

GILFORD SECURITIES INCORPORATED

UBS FINANCIAL SERVICES INC.

BLYTH EASTMAN DILLON & CO. INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/29/1998

Series 63

Date: 10/10/1983

SIE

Date: 10/1/2018

Series 1

Date: 10/21/1969

Series 4

Date: 10/3/1996

Series 40

Date: 12/27/1978

Current Firm

UTES WEALTH STRATEGIES

Contact information

Documents

Red Flags

Company Information

UTES WEALTH STRATEGIES

TRUST BUT VERIFY

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