William L. Wiley

Some features on this profile are disabled

CRD#: 5034900

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 Lloyd Wiley, who also goes by William Wiley, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 2007. William had worked at 8 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

William Wiley

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 6, 2015 - November 9, 2017

CREATIVE FINANCIAL DESIGNS, INC.

RIA

CRD#: 109032

Charlotte, NC

Past

October 6, 2015 - November 9, 2017

CFD INVESTMENTS, INC.

CRD#: 25427

Charlotte, NC

Past

March 30, 2015 - September 16, 2015

KALOS MANAGEMENT

RIA

CRD#: 133025

MONROE, NC

Past

March 30, 2015 - September 16, 2015

KALOS CAPITAL, INC.

CRD#: 44337

MONROE, NC

Past

October 3, 2012 - March 31, 2015

STRATOS WEALTH PARTNERS, LTD

RIA

CRD#: 153184

MONROE, NC

Past

September 5, 2012 - April 17, 2015

LPL FINANCIAL LLC

CRD#: 6413

MONROE, NC

Past

August 9, 2012 - August 14, 2012

PARK AVENUE SECURITIES LLC

CRD#: 46173

MONROE, NC

Past

September 21, 2010 - July 18, 2012

STRATOS WEALTH PARTNERS, LTD

RIA

CRD#: 153184

CHAROLOTTE, NC

Past

September 10, 2010 - August 2, 2012

LPL FINANCIAL LLC

CRD#: 6413

MONROE, NC

Past

March 27, 2007 - September 21, 2010

EQUITY SERVICES, INC.

RIA

CRD#: 265

CHARLOTTE, NC

Past

January 18, 2007 - September 21, 2010

EQUITY SERVICES, INC.

CRD#: 265

CHARLOTTE, 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".

CREATIVE FINANCIAL DESIGNS, INC.

CFD INVESTMENTS, INC. | CREATIVE FINANCIAL DESIGNS, INC.

CRD#: 109032 / SEC#: 801-60153

RIA

Registered Investment Advisory firm - (4/19/2001 Approved)

California

Registered Investment Advisory firm - (4/20/2001 Terminated)

Florida

Registered Investment Advisory firm - (4/19/2001 Terminated)

Indiana

Registered Investment Advisory firm - (12/9/2002 Terminated)

Iowa

Registered Investment Advisory firm - (5/20/2002 Terminated)

Kentucky

Registered Investment Advisory firm - (4/19/2001 Terminated)

Maryland

Registered Investment Advisory firm - (5/20/2002 Terminated)

Michigan

Registered Investment Advisory firm - (12/11/2001 Terminated)

Missouri

Registered Investment Advisory firm - (4/19/2001 Terminated)

New Jersey

Registered Investment Advisory firm - (4/19/2001 Terminated)

North Carolina

Registered Investment Advisory firm - (12/19/2006 Terminated)

Ohio

Registered Investment Advisory firm - (4/19/2001 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.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 3/16/2007

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/10/2007

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 11/9/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/17/2007

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CREATIVE FINANCIAL DESIGNS, INC.

CFD INVESTMENTS, INC. | CREATIVE FINANCIAL DESIGNS, INC.

CRD#: 109032 / SEC#: 801-60153

RIA

Registered Investment Advisory firm - (4/19/2001 Approved)

California

Registered Investment Advisory firm - (4/20/2001 Terminated)

Florida

Registered Investment Advisory firm - (4/19/2001 Terminated)

Indiana

Registered Investment Advisory firm - (12/9/2002 Terminated)

Iowa

Registered Investment Advisory firm - (5/20/2002 Terminated)

Kentucky

Registered Investment Advisory firm - (4/19/2001 Terminated)

Maryland

Registered Investment Advisory firm - (5/20/2002 Terminated)

Michigan

Registered Investment Advisory firm - (12/11/2001 Terminated)

Missouri

Registered Investment Advisory firm - (4/19/2001 Terminated)

New Jersey

Registered Investment Advisory firm - (4/19/2001 Terminated)

North Carolina

Registered Investment Advisory firm - (12/19/2006 Terminated)

Ohio

Registered Investment Advisory firm - (4/19/2001 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2704 S Goyer Rd, Kokomo, IN 46902

Mailing Address

P.o. Box # 2244, Kokomo, IN 46904-2244

Phone number

(765) 453-9600

Established

Firm type

Fiscal year end

# of Employees

150

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	14,029
AUM (Assets Under Management)	$ 2,478,773,967

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/22/2024	Cover Page	Report
01/05/2024	Cover Page	Report
01/10/2023	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

William L. Wiley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CFD INVESTMENTS, INC.

KALOS MANAGEMENT

KALOS CAPITAL, INC.

STRATOS WEALTH PARTNERS, LTD

LPL FINANCIAL LLC

PARK AVENUE SECURITIES LLC

STRATOS WEALTH PARTNERS, LTD

LPL FINANCIAL LLC

EQUITY SERVICES, INC.

EQUITY SERVICES, INC.

Primary Firm SEC Registration

CREATIVE FINANCIAL DESIGNS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/16/2007

Series 65

Date: 3/10/2007

SIE

Date: 11/9/2017

Series 6

Date: 1/17/2007

Current Firm

CREATIVE FINANCIAL DESIGNS, INC.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CREATIVE FINANCIAL DESIGNS, INC.

TRUST BUT VERIFY

Similar Advisors