William B. Weldon
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 Bernard Weldon, who also goes by Bill Weldon, William B Weldon, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1969. William had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, Series 52TO, SIE, Series 5, PC, Series 000, Series 1, Series 10, Series 53, Series 9, Series 4, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2016 - July 22, 2022
RAYMOND JAMES & ASSOCIATES, INC.
May 20, 2016 - July 22, 2022
RAYMOND JAMES & ASSOCIATES, INC.
October 1, 1999 - May 25, 2016
WELLS FARGO CLEARING SERVICES, LLC
April 29, 1992 - May 25, 2016
WELLS FARGO CLEARING SERVICES, LLC
April 1, 1992 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
May 14, 1988 - April 9, 1992
LEHMAN BROTHERS INC.
February 22, 1980 - May 14, 1988
E. F. HUTTON & COMPANY INC
January 31, 1980 - March 22, 1980
UBS FINANCIAL SERVICES INC.
March 3, 1975 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
May 6, 1969 - February 16, 1975
LEGG MASON WOOD WALKER, INCORPORATED
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 5
Date: 10/20/1981
Interest Rate Options ExaminationPC
Date: 7/18/1977
AMEX Put and Call ExamSeries 000
Date: 4/23/1969
General Securities Principal ExaminationSeries 1
Date: 4/23/1969
Registered Representative ExaminationSeries 12
Date: 5/1/1979
NYSE Branch Manager ExaminationCurrent 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.
