William R. Shuey
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 Russell Shuey, CFP®, who also goes by William Russell Shuey Mr., William Shuey, Bill Shuey, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2011. William had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2013
Experience
January 30, 2018 - February 6, 2018
VANGUARD ADVISERS, INC.
April 28, 2014 - January 23, 2018
OSAIC FA, INC.
April 28, 2014 - January 23, 2018
OSAIC FA, INC.
June 28, 2013 - March 19, 2014
M HOLDINGS SECURITIES, INC.
July 14, 2011 - March 27, 2014
VALLEY FORGE INVESTMENT CONSULTANTS, INC.
May 6, 2011 - June 28, 2013
VFIC SECURITIES, INC.
Primary Firm SEC Registration
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
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
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 698,843 |
| AUM (Assets Under Management) | $ 300,434,933,763 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/23/2024 | ||
| 06/28/2023 |
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.
