William T. Gupton

EMERALD ASSET MANAGEMENT

Rocky Mount, NC 27804

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CRD#: 5812173

Professional summary

William Tyler Gupton is a registered financial advisor currently at EMERALD ASSET MANAGEMENT, INC. located in Rocky Mount, North Carolina.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. William has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Tyler Gupton'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

March 28, 2025 - Present

EMERALD ASSET MANAGEMENT, INC.

Office #1: 2343 Professional Drive Suite B, Rocky Mount, NC 27804

RIA

CRD#: 174691

Rocky Mount, NC

Past

April 4, 2022 - March 5, 2025

FIRST CITIZENS INVESTOR SERVICES, INC.

RIA

CRD#: 44430

RALEIGH, NC

Past

August 2, 2021 - March 5, 2025

FIRST CITIZENS INVESTOR SERVICES, INC.

CRD#: 44430

RALEIGH, NC

Past

November 20, 2018 - July 30, 2021

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

CRD#: 39805

chicago, IL

Past

May 11, 2016 - November 12, 2018

CAPFINANCIAL SECURITIES, LLC.

CRD#: 126291

RALEIGH, NC

Past

October 29, 2013 - February 23, 2016

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

August 4, 2010 - September 23, 2013

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

CHICAGO, IL

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".

EMERALD ASSET MANAGEMENT, INC.

EAM, INC. | EMERALD ASSET MANAGMENT, INC. | EMERALD ASSET MANAGEMENT, INC.

CRD#: 174691 / SEC#: 801-132053

RIA

Registered Investment Advisory firm - (2/28/2025 Approved)

North Carolina

Registered Investment Advisory firm - (3/26/2025 Terminated)

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.

Highlighted states indicate IAR registrations

IAR

North Carolina
(3/28/2025)

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 65

Date: 4/4/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/8/2011

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: 10/29/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/3/2010

Investment Company Products/Variable Contracts Representative Examination

Current Firm

EMERALD ASSET MANAGEMENT, INC.

EAM, INC. | EMERALD ASSET MANAGMENT, INC. | EMERALD ASSET MANAGEMENT, INC.

CRD#: 174691 / SEC#: 801-132053

RIA

Registered Investment Advisory firm - (2/28/2025 Approved)

North Carolina

Registered Investment Advisory firm - (3/26/2025 Terminated)

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Contact information

Main Address

2343 Professional Drive Suite B, Rocky Mount, NC 27804

Mailing Address

P.o. Box 7756, Rocky Mount, NC 27804

Phone number

(252) 443-7616

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A (3/21/2025)

ADV 2B (1/29/2025)

Regulatory assets under management

Total Number of Accounts	395
AUM (Assets Under Management)	$ 110,426,978

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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Advisor Monitoring

Firm Stability Insights

William T. Gupton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Tyler Gupton's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST CITIZENS INVESTOR SERVICES, INC.

FIRST CITIZENS INVESTOR SERVICES, INC.

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

CAPFINANCIAL SECURITIES, LLC.

GOLDMAN SACHS & CO. LLC

TRANSAMERICA INVESTORS SECURITIES, LLC

Primary Firm SEC Registration

EMERALD ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/4/2022

Series 63

Date: 8/8/2011

SIE

Date: 10/1/2018

Series 7

Date: 10/29/2013

Series 6

Date: 8/3/2010

Current Firm

EMERALD ASSET MANAGEMENT, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EMERALD ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

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