William H. Zufall
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 Henry Zufall II, who also goes by Bill Zufall, William H Zufall II, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1964. William had worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2009 - May 17, 2023
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 27, 2009 - May 17, 2023
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 18, 2003 - April 30, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 15, 2003 - April 30, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 2, 2002 - April 29, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 23, 2001 - April 29, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 26, 1978 - November 21, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 8, 1964 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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 ExaminationPC
Date: 9/8/1977
AMEX Put and Call ExamSeries 1
Date: 6/5/1964
Registered Representative ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
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.
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