William J. Mclemore
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 Jesse Stuart Mclemore, CFP®, who also goes by W.j. Stuart Mclemore, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2012. William had worked at 3 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2016
Experience
October 25, 2018 - July 3, 2019
COMPASS WEALTH MANAGEMENT, LLC
October 15, 2013 - October 12, 2018
UNITED CAPITAL FINANCIAL ADVISORS
January 11, 2013 - April 9, 2013
EQUITABLE ADVISORS, LLC
September 6, 2012 - April 9, 2013
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
COMPASS WEALTH MANAGEMENT, LLC
CRD#: 156482 / SEC#: 801-72172
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
COMPASS WEALTH MANAGEMENT, LLC
CRD#: 156482 / SEC#: 801-72172
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 761 |
| AUM (Assets Under Management) | $ 267,821,668 |
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.
