William R. Cavalier
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 R Cavalier MR, who also goes by William R Cavalier, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2013. William had worked at 3 firms and has passed the Series 63, Series 65, Series 6TO, 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
Experience
January 7, 2022 - April 7, 2026
TRUSTAGE INVESTMENT MANAGEMENT
October 15, 2020 - April 7, 2026
CUNA BROKERAGE SERVICES, INC.
July 20, 2020 - January 10, 2022
CUNA BROKERAGE SERVICES, INC.
August 29, 2019 - March 11, 2020
HCO PRIVATE WEALTH
July 19, 2013 - October 21, 2014
CUNA BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
TRUSTAGE INVESTMENT MANAGEMENT
CRD#: 105960 / SEC#: 801-18140
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
Series 6TO
Date: 10/15/2020
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
TRUSTAGE INVESTMENT MANAGEMENT
CRD#: 105960 / SEC#: 801-18140
Contact information
SEC notice filing (50 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 363 |
| AUM (Assets Under Management) | $ 37,252,230,000 |
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.
