William S. Poland

CAROLINA FINANCIAL ADVISORS

Greensboro, NC 27403

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CRD#: 4677832

Professional summary

William Scott Poland, who also goes by Bill Poland, William Poland, is a registered financial advisor currently at CAROLINA FINANCIAL ADVISORS, INC. located in Greensboro, North Carolina.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. William has worked at 4 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bill Poland | William Poland

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.PROPERTY & CASUALTY AGENCY - GREENSBORO, NC. OWNER/AGENT. STARTED 02/04/2011. 8 HOURS WEEKLY, 2 DURING TRADING HOURS. 2.Kingdom Vision Financial, Inc. dba Dries Poland Insurance; investment related: Yes; Location of the business: 100 East Lake Drive Greensboro, NC 27403; Description of the business: Insurance Agency ; Position Title: President/Owner; Responsibilities Duties: Insurance sales and supervision ; Start date with business: 2009-02-02; Hours devoted to business during trading hours: 10; Hours devoted to business outside trading hours: 10; Percentage of total yearly compensation expected to be derived from the business: 10.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Scott Poland's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 8, 2017 - Present

CAROLINA FINANCIAL ADVISORS, INC.

Office #1: 100 East Lake Dr. Suite 100, Greensboro, NC 27403

RIA

CRD#: 118823

Greensboro, NC

Past

February 23, 2009 - June 14, 2017

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

GREENSBORO, NC

Past

February 6, 2009 - June 14, 2017

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

GREENSBORO, NC

Past

January 2, 2004 - February 12, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

GREENSBORO, NC

Past

August 27, 2003 - February 12, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

GREENSBORO, NC

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".

CAROLINA FINANCIAL ADVISORS, INC.

CRD#: 118823 / SEC#: 801-120773

RIA

Registered Investment Advisory firm - (4/9/2021 Approved)

North Carolina

Registered Investment Advisory firm - (4/22/2021 Terminated)

South Carolina

Registered Investment Advisory firm - (4/19/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Florida
(7/2/2025)

IAR

North Carolina
(6/8/2017)

IAR

Texas
(9/16/2025)

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 66

Date: 9/30/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 6/14/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/17/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/26/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 1/11/2010

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/16/2009

General Securities Principal Examination

Current Firm

CAROLINA FINANCIAL ADVISORS, INC.

CRD#: 118823 / SEC#: 801-120773

RIA

Registered Investment Advisory firm - (4/9/2021 Approved)

North Carolina

Registered Investment Advisory firm - (4/22/2021 Terminated)

South Carolina

Registered Investment Advisory firm - (4/19/2021 Terminated)

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Contact information

Main Address

100 East Lake Dr. Suite 100, Greensboro, NC 27403

Mailing Address

Phone number

(336) 333-0176

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAROLINA FINANCIAL ADVISORS ADV PART 2A (4/3/2025)

Regulatory assets under management

Total Number of Accounts	1,034
AUM (Assets Under Management)	$ 211,621,434

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.

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Advisor Monitoring

Firm Stability Insights

William S. Poland

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Scott Poland's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CAROLINA FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/30/2003

SIE

Date: 6/14/2017

Series 31

Date: 8/17/2004

Series 7

Date: 8/26/2003

Series 4

Date: 1/11/2010

Series 24

Date: 12/16/2009

Current Firm

CAROLINA FINANCIAL ADVISORS, INC.

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAROLINA FINANCIAL ADVISORS, INC.

TRUST BUT VERIFY

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