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William E Griggs Iii

CRD# 5246146·Registered 2007 - 2021
Previously Registered: Being a previously registered professional could mean that William 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.

Professional Summary

William E Griggs III, who also goes by William E Griggs, William Eugene Griggs, was a registered financial advisor. William was a previously registered financial professional and started their career in finance 2007 - 2021. William had worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

William E Griggs, William Eugene Griggs

Blog Corner

More Resources

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

19 years registered in the securities industry

Current & Past Employments

Past

VESTECH ASSET MANAGEMENT INC.Past·CRD# 285685
RIA
Dothan, AL
February 3, 2020 - January 7, 2021
VESTECH SECURITIES, INC.Past·CRD# 41409
BD
St. Louis, MO
January 27, 2020 - January 7, 2021
KESTRA ADVISORY SERVICES, LLCPast·CRD# 283330
RIA
Dothan, AL
April 18, 2016 - February 2, 2018
KESTRA INVESTMENT SERVICES, LLCPast·CRD# 42046
BD
Dothan, AL
February 18, 2015 - February 2, 2018
KESTRA INVESTMENT SERVICES, LLCPast·CRD# 42046
RIA
Dothan, AL
February 18, 2015 - September 22, 2016
AMERIPRISE FINANCIAL SERVICES, LLCPast·CRD# 6363
RIA
Dothan, AL
October 15, 2010 - March 2, 2015
AMERIPRISE FINANCIAL SERVICES, LLCPast·CRD# 6363
BD
Dothan, AL
October 15, 2010 - March 2, 2015
INTL ADVISORY CONSULTANTS INC.Past·CRD# 130888
RIA
Birmingham, AL
October 19, 2009 - October 18, 2010
STONEX SECURITIES INC.Past·CRD# 18456
BD
Dothan, AL
October 19, 2009 - October 18, 2010
COLONIAL ASSET MANAGEMENT INCPast·CRD# 108950
RIA
Dothan, AL
June 10, 2008 - October 19, 2009
COLONIAL BROKERAGE, INC.Past·CRD# 111668
BD
Dothan, AL
June 9, 2008 - October 19, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDPast·CRD# 7691
RIA
Montgomery, AL
July 3, 2007 - March 6, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDPast·CRD# 7691
BD
Montgomery, AL
March 6, 2007 - March 6, 2008

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Current Firm

VA
VESTECH ASSET MANAGEMENT INC.

MAENDEL WEALTH | VESTECH ASSET MANAGEMENT INC. | ROYAL CROWN WEALTH MANAGEMENT | MEYER FINANCIAL GROUP

CRD#: 285685
Connecticut
Registered Investment Advisory firm - Connecticut (8/8/2017 Approved)
Illinois
Registered Investment Advisory firm - Illinois (6/18/2020 Approved)
Kansas
Registered Investment Advisory firm - Kansas (6/9/2017 Approved)
Michigan
Registered Investment Advisory firm - Michigan (12/2/2016 Approved)
Missouri
Registered Investment Advisory firm - Missouri (6/8/2017 Approved)
North Carolina
Registered Investment Advisory firm - North Carolina (9/21/2017 Approved)
Pennsylvania
Registered Investment Advisory firm - Pennsylvania (9/21/2018 Approved)
Texas
Registered Investment Advisory firm - Texas (12/3/2018 Approved)

Contact Information

Main Address

11477 Olde Cabin Road Suite 310, Saint Louis, MO 63141

Phone Number

(314) 828-2111

# of Employees

14

Documents

Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

278

AUM (Assets Under Management)

$99,676,914

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Jun 2007About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Feb 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Mar 2007About the Series 7 exam

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CRS (Client Relationship Summary)

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

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