William W. Ash
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 W Ash was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2016. William had worked at 3 firms and has passed the Series 63, Series 66, Series 7TO, 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
Experience
September 20, 2023 - January 31, 2024
VIRTUS INVESTMENT ADVISERS, LLC
September 20, 2023 - January 31, 2024
VP DISTRIBUTORS LLC
September 26, 2016 - January 30, 2017
MORGAN STANLEY
Primary Firm SEC Registration
VIRTUS INVESTMENT ADVISERS, LLC
CRD#: 106982 / SEC#: 801-5995
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 7TO
Date: 9/20/2023
General Securities Representative ExaminationCurrent Firm
VIRTUS INVESTMENT ADVISERS, LLC
CRD#: 106982 / SEC#: 801-5995
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 105 |
| AUM (Assets Under Management) | $ 53,982,609,839 |
Red Flags
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