WS
William R. Sigrist
CAPSTONE INVESTMENT FINANCIAL GROUP
Webster, NY 14580
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CRD#: 5241921
WS
Professional summary
William Raymond Sigrist, who also goes by Bill Sigrist, is a registered financial advisor currently at CAPSTONE INVESTMENT FINANCIAL GROUP, LLC located in Webster, New York.
William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. William has worked at 4 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bill Sigrist
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)FINANCIAL PLANNING ASSOCIATION OF SOUTHERN COLORADO; NOT INVESTMENT RELATED; PO BOX 7, COLORADO SPRINGS, CO 80901; BOARD MEMBER; SPONSORSHIP CHAIRMAN; STARTED 1/1/06; 8HRS/MO, 3HRS/MO DURING TRADE HRS; CONTACT PROSPECTIVE CORPORATE SPONSORS TO FUND ACTIVITIES FOR THIS ORGANIZATION. 2)INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES.
CRS (Client Relationship Summary) - RIA
Click below to view William Raymond Sigrist'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®
NoneExperience
Current
January 6, 2015 - Present
CAPSTONE INVESTMENT FINANCIAL GROUP, LLC
Office #1: 115 West Salori Court, Webster, NY 14580RIA
CRD#: 122575
Webster, NY
Past
August 2, 2013 - April 1, 2015
CAPSTONE INVESTMENT FINANCIAL GROUP, INC.
RIA
CRD#: 150435
COLORADO SPRINGS, CO
Past
September 15, 2009 - November 14, 2011
CAPSTONE INVESTMENT FINANCIAL GROUP, INC.
RIA
CRD#: 150435
COLORADO SPRINGS, CO
Past
January 4, 2008 - October 15, 2009
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
COLORADO SPRINGS, CO
Past
June 27, 2007 - October 15, 2009
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
COLORADO SPRINGS, CO
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".
CI
CAPSTONE INVESTMENT FINANCIAL GROUP, LLC
CAPSTONE INVESTMENT FINANCIAL GROUP, LLC | DUNN WARREN INVESTMENT ADVISORS, LLC | DUNN CAPITAL MANAGEMENT, LLC | DUNN CAPITAL MANAGEMENT
CRD#: 122575 / SEC#: 801-67699
RIA
Registered Investment Advisory firm - (4/17/2007 Approved)Colorado
Registered Investment Advisory firm - (5/2/2007 Terminated)Florida
Registered Investment Advisory firm - (4/24/2007 Terminated)Texas
Registered Investment Advisory firm - (4/20/2007 Terminated)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
Colorado(1/6/2015)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
CI
CAPSTONE INVESTMENT FINANCIAL GROUP, LLC
CAPSTONE INVESTMENT FINANCIAL GROUP, LLC | DUNN WARREN INVESTMENT ADVISORS, LLC | DUNN CAPITAL MANAGEMENT, LLC | DUNN CAPITAL MANAGEMENT
CRD#: 122575 / SEC#: 801-67699
RIA
Registered Investment Advisory firm - (4/17/2007 Approved)Colorado
Registered Investment Advisory firm - (5/2/2007 Terminated)Florida
Registered Investment Advisory firm - (4/24/2007 Terminated)Texas
Registered Investment Advisory firm - (4/20/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
115 West Salori Court, Webster, NY 14580
Mailing Address
Phone number
(719) 477-9883
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 881 |
| AUM (Assets Under Management) | $ 136,583,840 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAPSTONE INVESTMENT FINANCIAL GROUP, LLC
CRD#: 122575Webster, NY 14580TRUST BUT VERIFY
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