William J. Pieper
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 John Pieper was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2005. William had worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2023 - January 11, 2024
GUIDANCE POINT RETIREMENT SERVICES, LLC
July 14, 2006 - July 6, 2022
PENTEGRA INVESTORS, INC.
January 1, 2005 - July 6, 2022
PENTEGRA DISTRIBUTORS INC.
Primary Firm SEC Registration
GUIDANCE POINT RETIREMENT SERVICES, LLC
CRD#: 161000 / SEC#: 801-73184
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
GUIDANCE POINT RETIREMENT SERVICES, LLC
CRD#: 161000 / SEC#: 801-73184
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6 |
| AUM (Assets Under Management) | $ 62,861,825 |
Red Flags
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