William J. Hance

STIFEL, NICOLAUS & COMPANY

Friendsville, TN

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CRD#: 5567869

Professional summary

William Joseph Hance, who also goes by Bill Joseph Hance, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Friendsville, Tennessee.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. William has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bill Joseph Hance

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) - RIA

Click below to view William Joseph Hance's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view William Joseph Hance's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 25, 2018 - Present

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Office #2: 100 Winners Circle Suite 310, Brentwood, TN 37027Office #3: 6075 Poplar Avenue, Suite 625 & 628, Memphis, TN 38119Office #4: 218 Harbor Drive South, Venice, FL 34285Office #5: 100 North Tampa Street Suite 1750, Tampa, FL 33602Office #6: 25 West Cedar Street, Pensacola, FL 32502Office #7: 212 Green Street Ne, Gainesville, GA 30501Office #8: 2650 North Military Trail Suite 400, Boca Raton, FL 33431Office #9: 1276 May River Road Suite 200, Bluffton, SC 29910Office #10: 1490 Northbank Parkway Suite 100, Tuscaloosa, AL 35406Office #11: 905 22nd Avenue Suite 100, Meridian, MS 39301Office #12: 222 West Main Street, Radford, VA 24141Office #13: 6100 Fairview Road Suite 350 & Suite 700, Charlotte, NC 28210Office #14: 2933 Sunset Avenue Suite A, Rocky Mount, NC 27804Office #15: 629 Green Valley Road Ste 211, Greensboro, NC 27408Office #16: 9 Park Place West, Suite 103, Brevard, NC 28712Office #17: 1319 Sunset Drive Suite 201, Johnson City, TN 37604Office #18: 1330 East Arlington Blvd Suite D, Greenville, NC 27858Office #19: 2770 Nw 43rd Street Suite B, Gainesville, FL 32606Office #20: 1021 East Cary Street Suites 1925 & 1975, Richmond, VA 23219Office #21: 800 Shades Creek Parkway Suites 750 & 775, Birmingham, AL 35209Office #22: 2 North Tamiami Trail, Sarasota, FL 34236Office #23: 233 12th Street, Suite 100-a, Columbus, GA 31901Office #24: 501 N. Broadway, St. Louis, MO 63102Office #25: 303 International Circle Suite 590, Hunt Valley, MD 21030Office #26: 501 N Broadway, St Louis, MO 63102Office #27: 460 West Wesmark Blvd., Sumter, SC 29150Office #28: 2605 Enterprise Road Suite 168, Clearwater, FL 33759Office #29: 1200 Commerce Street Suite 100, Lynchburg, VA 24504Office #30: 3600 Springhill Business Park Suite 1000, Mobile, AL 36608Office #31: 1 West 4th Street, Winston-salem, NC 27101Office #32: 201 East Main Street, Martinsville, VA 24112Office #33: Creekside Plaza 50 Citizen's Way Suite 200, Frederick, MD 21701Office #34: 670 South Perry Street Pob 750, Montgomery, AL 36104Office #35: 605 Chestnut Street Suite 1010, Chattanooga, TN 37450Office #37: 550 Broadview Avenue Suite 201, Warrenton, VA 20186Office #38: 1021 East Cary Street Suite 1950, Richmond, VA 23219Office #39: 2333 Ponce Deleon Boulevard Suite 900, Coral Gables, FL 33134Office #40: 115 North Main Street Suite #a, Bel Air, MD 21014Office #41: 15 Lake Street Suite 140, Savannah, GA 31411Office #42: Cornerstone Office Park 1530 Cornerstone Blvd, Daytona Beach, FL 32117Office #43: 633 Berckman Road, Augusta, GA 30909Office #44: 45 Professional Place Suite 100, Bridgeport, WV 26330Office #45: 3150 Cardinal Drive Suite 101, Vero Beach, FL 32963Office #46: 1549 Mchenry Avenue Suite A, Modesto, CA 95350Office #47: 394 Milledge Avenue Suite 106, Athens, GA 30605Office #48: 3102 West End Avenue Suite 700, Nashville, TN 37203Office #49: 6769 North Wickham Road, Suite B100, Melbourne, FL 32940Office #50: 2021 Valleygate Drive Suite 101, Fayetteville, NC 28304Office #51: 1325 Cherokee Road, Florence, SC 29501Office #52: 1759 Worth Park, Charlottesville, VA 22911Office #53: 903 Se Ocean Blvd., Stuart, FL 34994Office #54: 639 Loyola Avenue Suite 200, New Orleans, LA 70113Office #55: 174 Meeting Street Ste 400, Charleston, SC 29401Office #56: 3500 Financial Plaza Ste. 202, Tallahassee, FL 32312Office #57: 5011 Gate Parkway Building 100, Suite 320, Jacksonville, FL 32256Office #58: 33 Bull Street Suite 200, Savannah, GA 31401Office #59: 3555 North Crossing Circle, Valdosta, GA 31602Office #60: 7 Village Club Court Suite 100, Pinehurst, NC 28374Office #61: 2660 Eastchase Lane Lakeview Center, Suite 400, Montgomery, AL 36117Office #62: 400 International Parkway Suite 130, Heathrow, FL 32746Office #63: 1311 Spring Street Suite B, Gulfport, MS 39501Office #64: 3605 Glenwood Ave., Suite 390, Raleigh, NC 27612Office #65: 577 Mulberry Street, Suite 1200 Pob 4783 & 4707, Macon, GA 31201Office #66: 3777 Tamiami Trail North Suite 300, Naples, FL 34103Office #67: 1414 Raleigh Road, Chapel Hill, NC 27517Office #68: 3835 Pga Blvd. Suite 701, Palm Beach Gardens, FL 33410Office #69: 140 Royal Palm Way Suite 204, Palm Beach, FL 33480Office #70: 3630 Peachtree Road Ne 4th Floor, Atlanta, GA, 30326Office #71: 11300 Cantrell Road Suite 101, Little Rock, AR 72212Office #72: 2005 Eastwood Road Suite 102, Wilmington, NC 28403Office #73: 5211 Eason Street, Southport, NC 28461Office #74: 12800 University Drive Suite 300, Fort Myers, FL 33907

RIA

CRD#: 793

Friendsville, TN

Current

April 25, 2018 - Present

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Office #2: 100 Winners Circle Suite 310, Brentwood, TN 37027Office #3: 6075 Poplar Avenue, Suite 625 & 628, Memphis, TN 38119Office #4: 218 Harbor Drive South, Venice, FL 34285Office #5: 100 North Tampa Street Suite 1750, Tampa, FL 33602Office #6: 25 West Cedar Street, Pensacola, FL 32502Office #7: 212 Green Street Ne, Gainesville, GA 30501Office #8: 2650 North Military Trail Suite 400, Boca Raton, FL 33431Office #9: 1276 May River Road Suite 200, Bluffton, SC 29910Office #10: 1490 Northbank Parkway Suite 100, Tuscaloosa, AL 35406Office #11: 905 22nd Avenue Suite 100, Meridian, MS 39301Office #12: 222 West Main Street, Radford, VA 24141Office #13: 6100 Fairview Road Suite 350 & Suite 700, Charlotte, NC 28210Office #14: 2933 Sunset Avenue Suite A, Rocky Mount, NC 27804Office #15: 629 Green Valley Road Ste 211, Greensboro, NC 27408Office #16: 9 Park Place West, Suite 103, Brevard, NC 28712Office #17: 1319 Sunset Drive Suite 201, Johnson City, TN 37604Office #18: 1330 East Arlington Blvd Suite D, Greenville, NC 27858Office #19: 2770 Nw 43rd Street Suite B, Gainesville, FL 32606Office #20: 1021 East Cary Street Suites 1925 & 1975, Richmond, VA 23219Office #21: 800 Shades Creek Parkway Suites 750 & 775, Birmingham, AL 35209Office #22: 2 North Tamiami Trail, Sarasota, FL 34236Office #23: 233 12th Street, Suite 100-a, Columbus, GA 31901Office #24: 501 N. Broadway, St. Louis, MO 63102Office #25: 303 International Circle Suite 590, Hunt Valley, MD 21030Office #26: 501 North Broadway, St. Louis, MO 63102Office #27: 460 West Wesmark Blvd., Sumter, SC 29150Office #28: 2605 Enterprise Road Suite 168, Clearwater, FL 33759Office #29: 1200 Commerce Street Suite 100, Lynchburg, VA 24504Office #30: 3600 Springhill Business Park Suite 1000, Mobile, AL 36608Office #31: 1 West 4th Street, Winston-salem, NC 27101Office #32: 201 East Main Street, Martinsville, VA 24112Office #33: Creekside Plaza 50 Citizen's Way Suite 200, Frederick, MD 21701Office #34: 670 South Perry Street Pob 750, Montgomery, AL 36104Office #35: 605 Chestnut Street Suite 1010, Chattanooga, TN 37450Office #37: 550 Broadview Avenue Suite 201, Warrenton, VA 20186Office #38: 1021 East Cary Street Suite 1950, Richmond, VA 23219Office #39: 2333 Ponce Deleon Boulevard Suite 900, Coral Gables, FL 33134Office #40: 115 North Main Street Suite #a, Bel Air, MD 21014Office #41: 15 Lake Street Suite 140, Savannah, GA 31411Office #42: Cornerstone Office Park 1530 Cornerstone Blvd, Daytona Beach, FL 32117Office #43: 633 Berckman Road, Augusta, GA 30909Office #44: 45 Professional Place Suite 100, Bridgeport, WV 26330Office #45: 3150 Cardinal Drive Suite 101, Vero Beach, FL 32963Office #46: 1549 Mchenry Avenue Suite A, Modesto, CA 95350Office #47: 394 Milledge Avenue Suite 106, Athens, GA 30605Office #48: 3102 West End Avenue Suite 700, Nashville, TN 37203Office #49: 6769 North Wickham Road, Suite B100, Melbourne, FL 32940Office #50: 2021 Valleygate Drive Suite 101, Fayetteville, NC 28304Office #51: 1325 Cherokee Road, Florence, SC 29501Office #52: 1759 Worth Park, Charlottesville, VA 22911Office #53: 903 Se Ocean Blvd., Stuart, FL 34994Office #54: 639 Loyola Avenue Suite 200, New Orleans, LA 70113Office #55: 174 Meeting Street Ste 400, Charleston, SC 29401Office #56: 3500 Financial Plaza Ste. 202, Tallahassee, FL 32312Office #57: 5011 Gate Parkway Building 100, Suite 320, Jacksonville, FL 32256Office #58: 33 Bull Street Suite 200, Savannah, GA 31401Office #59: 3555 North Crossing Circle, Valdosta, GA 31602Office #60: 7 Village Club Court Suite 100, Pinehurst, NC 28374Office #61: 2660 Eastchase Lane Lakeview Center, Suite 400, Montgomery, AL 36117Office #62: 400 International Parkway Suite 130, Heathrow, FL 32746Office #63: 1311 Spring Street Suite B, Gulfport, MS 39501Office #64: 3605 Glenwood Ave., Suite 390, Raleigh, NC 27612Office #65: 577 Mulberry Street, Suite 1200 Pob 4783 & 4707, Macon, GA 31201Office #66: 3777 Tamiami Trail North Suite 300, Naples, FL 34103Office #67: 1414 Raleigh Road, Chapel Hill, NC 27517Office #68: 3835 Pga Blvd. Suite 701, Palm Beach Gardens, FL 33410Office #69: 140 Royal Palm Way Suite 204, Palm Beach, FL 33480Office #70: 3630 Peachtree Road Ne 4th Floor, Atlanta, GA, 30326Office #71: 11300 Cantrell Road Suite 101, Little Rock, AR 72212Office #72: 2005 Eastwood Road Suite 102, Wilmington, NC 28403Office #73: 5211 Eason Street, Southport, NC 28461Office #74: 12800 University Drive Suite 300, Fort Myers, FL 33907

RIA

CRD#: 793

Friendsville, TN

Past

March 16, 2018 - March 29, 2018

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

ST. LOUIS, MO

Past

March 15, 2018 - March 29, 2018

TD AMERITRADE, INC.

RIA

CRD#: 7870

ST. LOUIS, MO

Past

February 26, 2018 - March 29, 2018

TD AMERITRADE, INC.

CRD#: 7870

ST. LOUIS, MO

Past

June 26, 2017 - March 24, 2018

SCOTTRADE INVESTMENT MANAGEMENT

RIA

CRD#: 169988

SAINT LOUIS, MO

Past

September 7, 2009 - February 26, 2018

SCOTTRADE, INC.

CRD#: 8206

ST LOUIS, MO

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".

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793 / SEC#: 801-10746, 8-1447

RIA

Registered Investment Advisory firm - SEC (5/7/1975 Approved)

Georgia

Registered Investment Advisory firm - SEC (11/30/2011 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(7/9/2018)

Alaska
(7/9/2018)

Arizona
(7/9/2018)

Arkansas
(7/9/2018)

California
(4/26/2018)

Colorado
(7/9/2018)

Connecticut
(7/9/2018)

Delaware
(7/9/2018)

District of Columbia
(7/9/2018)

Florida
(7/9/2018)

Georgia
(7/9/2018)

Hawaii
(7/9/2018)

Idaho
(7/9/2018)

Illinois
(7/9/2018)

Indiana
(7/9/2018)

Iowa
(7/9/2018)

Kansas
(7/9/2018)

Kentucky
(7/9/2018)

Louisiana
(7/9/2018)

Maine
(7/9/2018)

Maryland
(7/9/2018)

Massachusetts
(7/9/2018)

Michigan
(7/9/2018)

Minnesota
(7/9/2018)

Mississippi
(7/9/2018)

Missouri
(4/25/2018)

IAR

Missouri
(4/25/2018)

Montana
(7/9/2018)

Nebraska
(7/9/2018)

Nevada
(7/9/2018)

New Hampshire
(7/9/2018)

New Jersey
(7/9/2018)

New Mexico
(7/9/2018)

New York
(7/9/2018)

North Carolina
(7/11/2018)

North Dakota
(7/9/2018)

Ohio
(7/9/2018)

Oklahoma
(7/9/2018)

Oregon
(7/9/2018)

Pennsylvania
(7/9/2018)

Puerto Rico
(7/9/2018)

Rhode Island
(7/9/2018)

South Carolina
(7/9/2018)

South Dakota
(7/9/2018)

Tennessee
(7/9/2018)

Texas
(7/9/2018)

Utah
(7/9/2018)

Vermont
(7/9/2018)

Virgin Islands
(7/9/2018)

Virginia
(7/9/2018)

Washington
(7/9/2018)

West Virginia
(7/9/2018)

Wisconsin
(7/9/2018)

Wyoming
(7/9/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/26/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/2/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/4/2009

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/23/2017

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 11/14/2016

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793 / SEC#: 801-10746, 8-1447

RIA

Registered Investment Advisory firm - SEC (5/7/1975 Approved)

Georgia

Registered Investment Advisory firm - SEC (11/30/2011 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

501 North Broadway, St Louis, MO 63102

Mailing Address

501 North Broadway, St. Louis, MO 63102

Phone number

(314) 342-2000

Established

Missouri since 02/20/1900

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

6,464

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

VISION PROGRAM DISCLOSURE BROCHURE (11/18/2025)

STIFEL FINANCIAL PLANNING DISCLOSURE BROCHURE (3/31/2025)

ADVISORY CONSULTING SERVICES BROCHURE (3/31/2025)

STIFEL'S WRAP FEE PROGRAM BROCHURE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
STIFEL FINANCIAL CORP.	SHAREHOLDER
AYD, PAUL JOSEPH	CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS	2963853
BRIGHT, GEOFFREY CLYDE JR	CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP	4696103
BROOKS, PATRICK RODGERS	ROSFP - CAPITAL MARKETS	2223412
DODSON, CHARLES EDWARD	CCO ADVISORY SERVICES	1744430
FISHER, MARK PHILIP	GENERAL COUNSEL, SECRETARY	4970942
HYDE, GINA ELIZABETH	CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS	2812751
KRUSZEWSKI, RONALD JAMES	PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD	1434827
MELINGER, ADAM SCOTT	ROSFP - PCG	2373020
NOLL, DOUGLAS WAYNE	PRINCIPAL OPERATIONS OFFICER	1614129
RAYMOND, CHARLES BRADFORD GREEN	CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY	2796106
SCHRICK, FREDERICK RICHARD	PRINCIPAL FINANCIAL OFFICER	5636488
SLINEY, DAVID DEAN	SENIOR VICE PRESIDENT & DIRECTOR	2276514
ZEMLYAK, JAMES MARK	EXECUTIVE VICE PRESIDENT & DIRECTOR	1586132

Regulatory assets under management

Total Number of Accounts	368,405
AUM (Assets Under Management)	$ 171,209,609,487

Disclosures

Regulatory Event	168
Civil Event	2
Arbitration	60
Bond	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/18/2024	Cover Page	Report
12/19/2023	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.

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William J. Hance

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Joseph Hance's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view William Joseph Hance's CRS (Customer Relationship Summary).

Certified licenses

Experience

STIFEL, NICOLAUS & COMPANY, INCORPORATED

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

SCOTTRADE INVESTMENT MANAGEMENT

SCOTTRADE, INC.

Primary Firm SEC Registration

STIFEL, NICOLAUS & COMPANY, INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 6/26/2017

Series 63

Date: 10/2/2009

SIE

Date: 10/1/2018

Series 7

Date: 9/4/2009

Series 10

Date: 1/23/2017

Series 9

Date: 11/14/2016

Cboe BZX Exchange, Inc.

FINRA

NYSE American LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

STIFEL, NICOLAUS & COMPANY, INCORPORATED

TRUST BUT VERIFY

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