WR
William L. Ralston
KPP ADVISORY SERVICES LLC
Louisville, KY 40222
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CRD#: 4547414
WR
Professional summary
William Lawson Ralston III, CFP®, who also goes by Bill Ralston, is a registered financial advisor currently at KPP ADVISORY SERVICES LLC located in Louisville, Kentucky and LPL FINANCIAL LLC located in Louisville, Kentucky.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. William has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bill Ralston
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. 1/19/2012 - KENTUCKY PLANNING PARTNERS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 11/2/2017 - KPP Advisory Services LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 10/02/2017 - 40 Hours Per Month During Securities Trading - I provide investment advisory services through KPP Advisory Services LLC, an independent investment advisor firm. I started this business activity in 10/2017. I expect to spend approximately 40 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 04/09/2024 - Shaw American Financial Corporation - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 04/03/2024 - 0 Hours Per Month/0 Hours During Securities Trading
CRS (Client Relationship Summary) - RIA
Click below to view William Lawson Ralston III'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®
CFP®
Start date: 2008
Experience
Current
October 5, 2017 - Present
KPP ADVISORY SERVICES LLC
Office #1: 9300 Shelbyville Rd. Suite 1310, Louisville, KY 40222RIA
CRD#: 289507
Louisville, KY
Current
February 2, 2012 - Present
LPL FINANCIAL LLC
Office #1: 9300 Shelbyville Rd Ste. 1310, Louisville, KY 40222-5170RIA
BD
CRD#: 6413
LOUISVILLE, KY
Past
February 2, 2012 - March 1, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
January 4, 2010 - February 2, 2012
PRIVATE CLIENT SERVICES, LLC
BD
CRD#: 120222
LOUISVILLE, KY
Past
June 13, 2006 - December 31, 2009
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
LOUISVILLE, KY
Past
August 6, 2003 - December 31, 2009
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
LOUISVILLE, KY
Past
January 7, 2003 - February 2, 2012
PRIVATE CLIENT SERVICES, LLC
RIA
CRD#: 120222
LOUISVILLE, KY
Past
July 3, 2002 - August 15, 2003
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
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".
KA
KPP ADVISORY SERVICES LLC
DOWDY ROY FINANCIAL | ROI FINANCIAL | MONEY411 | KPPARTNERS ADVISORY SERVICES, LLC | KPP ADVISORY SERVICES, LLC | KPP ADVISORY SERVICES LLC
CRD#: 289507 / SEC#: 801-111709
RIA
Registered Investment Advisory firm - (9/15/2017 Approved)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.RR
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
RR
California(5/27/2022)
RR
Connecticut(1/17/2023)
RR
Florida(8/21/2013)
RR
Hawaii(7/22/2025)
RR
Idaho(8/24/2023)
RR
Illinois(2/2/2012)
RR
Indiana(2/2/2012)
RR
Kentucky(2/2/2012)
IAR
Kentucky(10/9/2017)
RR
Maryland(4/26/2025)
RR
Massachusetts(5/27/2022)
RR
Missouri(5/27/2022)
RR
New Jersey(5/3/2022)
RR
New York(5/3/2022)
RR
North Carolina(5/5/2022)
RR
Ohio(8/25/2020)
RR
Texas(2/2/2012)
IAR
Texas(10/5/2017)
RR
Virginia(6/30/2022)
RR
Washington(5/3/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KPP ADVISORY SERVICES LLC
DOWDY ROY FINANCIAL | ROI FINANCIAL | MONEY411 | KPPARTNERS ADVISORY SERVICES, LLC | KPP ADVISORY SERVICES, LLC | KPP ADVISORY SERVICES LLC
CRD#: 289507 / SEC#: 801-111709
RIA
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Contact information
Main Address
9300 Shelbyville Rd. Suite 1310, Louisville, KY 40222
Mailing Address
Phone number
(502) 394-0400
Established
Firm type
Fiscal year end
# of Employees
35
SEC notice filing (26 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,405 |
| AUM (Assets Under Management) | $ 874,251,636 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
KPP ADVISORY SERVICES LLC
CRD#: 289507Louisville, KY 40222TRUST BUT VERIFY
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