William L. Patriarca
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 Lawrence Patriarca, CFP®, who also goes by Bill Lawrence Patriarca, Billy Lawrence Patriarca, William Lawrence Patriarca, William L Patriarca, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2012. William had worked at 7 firms and has passed the Series 66, SIE 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: 2020
Experience
April 10, 2024 - April 8, 2026
CETERA INVESTMENT SERVICES LLC
April 9, 2024 - April 8, 2026
CETERA INVESTMENT ADVISERS LLC
June 9, 2021 - May 18, 2022
LPL FINANCIAL LLC
June 9, 2021 - May 18, 2022
LPL FINANCIAL LLC
April 15, 2021 - June 9, 2021
M&T SECURITIES, INC.
April 15, 2021 - June 9, 2021
M&T SECURITIES, INC.
October 18, 2018 - April 14, 2021
WELLS FARGO CLEARING SERVICES, LLC
October 17, 2018 - April 14, 2021
WELLS FARGO CLEARING SERVICES, LLC
August 13, 2015 - January 26, 2017
VALIC FINANCIAL ADVISORS, INC.
August 5, 2015 - January 26, 2017
VALIC FINANCIAL ADVISORS, INC.
February 1, 2013 - August 4, 2015
WELLS FARGO CLEARING SERVICES, LLC
January 28, 2013 - August 4, 2015
WELLS FARGO CLEARING SERVICES, LLC
July 18, 2012 - November 2, 2012
VOYA FINANCIAL ADVISORS, INC.
June 9, 2012 - November 2, 2012
VOYA FINANCIAL ADVISORS, INC.
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
CETERA INVESTMENT SERVICES LLC
CRD#: 15340 / SEC#: 801-45573, 8-31826
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | CHIEF COMPLIANCE OFFICER | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
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.
