William H. Newcomb

NEWCOMB FINANCIAL ADVISORS

Chapel Hill, NC 27517

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CRD#: 5641873

Professional summary

William H Newcomb, CFP®, who also goes by Bill Newcomb, is a registered financial advisor currently at NEWCOMB FINANCIAL ADVISORS, LLC located in Chapel Hill, North Carolina.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. William has worked at 2 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bill Newcomb

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 H Newcomb'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: 2011

Experience

Current

December 23, 2010 - Present

NEWCOMB FINANCIAL ADVISORS, LLC

Office #1: 1340 Environ Way, Suite 13402, Chapel Hill, NC 27517

RIA

CRD#: 155849

Chapel Hill, NC

Past

April 3, 2009 - November 15, 2010

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

RESEARCH TRIANGLE PARK, NC

Past

March 9, 2009 - November 15, 2010

EQUITABLE ADVISORS, LLC

CRD#: 6627

RESEARCH TRIANGLE PARK, NC

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

North Carolina
(12/23/2010)

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: 3/24/2009

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 3/6/2009

General Securities Representative Examination

Current Firm

NEWCOMB FINANCIAL ADVISORS, LLC

CRD#: 155849 / SEC#:

Massachusetts

Registered Investment Advisory firm - (12/16/2015 Terminated)

North Carolina

Registered Investment Advisory firm - (12/3/2010 Approved)

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).

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Contact information

Main Address

1340 Environ Way, Suite 13402, Chapel Hill, NC 27517

Mailing Address

Phone number

(919) 593-5545

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	30
AUM (Assets Under Management)	$ 13,905,284

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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Firm Stability Insights

William H. Newcomb

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William H Newcomb's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEWCOMB FINANCIAL ADVISORS, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/24/2009

Series 7

Date: 3/6/2009

Current Firm

NEWCOMB FINANCIAL ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

NEWCOMB FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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