William N. Pugh

VELA CONSULTING

Laguna Beach, CA

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CRD#: 4855771

Professional summary

William Nicholas Pugh, CFP® is a registered financial advisor currently at VELA CONSULTING, LLC located in Laguna Beach, California.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. William has worked at 5 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

INDEPENDENT INSURANCE AGENT - LIFE, HEALTH, DISABILITY INSURANCE; NON-VARIABLE ANNUITIES; NON-INVESTMENT RELATED; 5 HRS/MO DURING SECS TRADING HRS. OAK QUARRY MANAGEMENT LLC; INVESTMENT RELATED; 31001 S COAST HWY, LAGUNA BEACH CA; MANAGER OF INVESTMENT FUNDS; INDEPENDENT CONTRACTOR; JANUARY 2022; 80 HOURS/MONTH; NOT RELATED TO TRADING HOURS; ASSISTANCE TO THE COMPANY AND ITS PARTNERSHIPS WITH INVESTOR RELATIONS, QUALIFYING INVESTORS, SECURITIES SALES, ACTIVITIES THROUGH COLUMBIA CAPITAL SECURITIES, INC; LLC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Nicholas Pugh's 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®

CFP^®

Certified Financial Planner

Start date: 2008

Experience

Current

June 27, 2019 - Present

VELA CONSULTING, LLC

RIA

CRD#: 304085

Laguna Beach, CA

Past

August 30, 2021 - September 15, 2024

COLUMBIA CAPITAL SECURITIES, INC.

CRD#: 146838

LOS ANGELES, CA

Past

June 4, 2014 - June 3, 2019

APRIEM ADVISORS

RIA

CRD#: 108188

IRVINE, CA

Past

April 7, 2011 - April 23, 2014

NORTHERN TRUST SECURITIES, INC.

CRD#: 7927

NEWPORT BEACH, CA

Past

June 21, 2005 - April 14, 2011

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

NEWPORT BEACH, CA

Past

October 4, 2004 - April 14, 2011

CHARLES SCHWAB & CO., INC.

CRD#: 5393

NEWPORT BEACH, CA

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

California
(6/27/2019)

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: 11/29/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 10/1/2004

General Securities Representative Examination

Current Firm

VELA CONSULTING, LLC

CRD#: 304085 / SEC#:

California

Registered Investment Advisory firm - (6/27/2019 Approved)

Washington

Registered Investment Advisory firm - (2/7/2022 Approved)

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Contact information

Main Address

Yorba Linda, CA

Mailing Address

Phone number

(714) 348-7046

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	248
AUM (Assets Under Management)	$ 41,868,669

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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William N. Pugh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Nicholas Pugh's CRS (Customer Relationship Summary).

Certified licenses

Experience

VELA CONSULTING, LLC

COLUMBIA CAPITAL SECURITIES, INC.

APRIEM ADVISORS

NORTHERN TRUST SECURITIES, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/29/2004

Series 7

Date: 10/1/2004

Current Firm

VELA CONSULTING, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

VELA CONSULTING, LLC

TRUST BUT VERIFY

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