William T. Wilson
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 Terrell Wilson was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2002. William had worked at 7 firms and has passed the Series 66, SIE 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
July 3, 2018 - July 23, 2020
RAYMOND JAMES & ASSOCIATES, INC.
July 3, 2018 - July 23, 2020
RAYMOND JAMES & ASSOCIATES, INC.
September 18, 2015 - June 14, 2018
JANNEY MONTGOMERY SCOTT LLC
September 18, 2015 - June 14, 2018
JANNEY MONTGOMERY SCOTT LLC
August 18, 2015 - October 1, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
June 5, 2015 - October 1, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 13, 2014 - June 5, 2015
STERNE, AGEE & LEACH, INC.
June 20, 2011 - January 13, 2014
JANNEY MONTGOMERY SCOTT LLC
June 20, 2011 - January 13, 2014
JANNEY MONTGOMERY SCOTT LLC
October 10, 2005 - June 16, 2011
FIRST CLEARING, LLC
February 11, 2004 - June 16, 2011
WELLS FARGO CLEARING SERVICES, LLC
February 11, 2004 - June 16, 2011
WELLS FARGO CLEARING SERVICES, LLC
March 21, 2003 - September 29, 2003
MORGAN STANLEY DW INC.
November 8, 2002 - September 29, 2003
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
