William N. Steiner
Professional summary
William Nicholas Steiner, who also goes by Bill Steiner, is a registered financial advisor currently at ICONIQ CAPITAL, LLC located in San Francisco, California.
William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. William has worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 99, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view William Nicholas Steiner's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 25, 2019 - Present
ICONIQ CAPITAL, LLC
Office #1: 50 Beale St. Ste 2300, San Francisco, CA 94105September 21, 2016 - April 14, 2017
LENDINGCLUB ASSET MANAGEMENT, LLC
August 28, 2015 - June 29, 2016
WIPFLI INSURANCE SERVICES, LLC
March 21, 2013 - September 21, 2016
WIPFLI FINANCIAL ADVISORS, LLC
Primary Firm SEC Registration
ICONIQ CAPITAL, LLC
CRD#: 159198 / SEC#: 801-72878
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/25/2019)
Exams
Current Firm
ICONIQ CAPITAL, LLC
CRD#: 159198 / SEC#: 801-72878
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,537 |
| AUM (Assets Under Management) | $ 95,050,705,302 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/20/2024 | ||
| 01/25/2024 | ||
| 02/23/2023 |
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.
