William J. Chase
Professional summary
William John Chase IV, CFP®, who also goes by William J. Chase IV, Will Chase, is a registered financial advisor currently at HBKS WEALTH ADVISORS located in Sarasota, Florida.
William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. William has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view William John Chase IV's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2021
Experience
November 18, 2020 - Present
HBKS WEALTH ADVISORS
Office #1: 1777 Main Street Suite 301, Sarasota, FL 34236May 1, 2020 - November 2, 2020
PURSHE KAPLAN STERLING INVESTMENTS
September 5, 2014 - February 13, 2020
MML INVESTORS SERVICES, LLC
March 27, 2014 - February 13, 2020
MML INVESTORS SERVICES, LLC
Primary Firm SEC Registration
HBKS WEALTH ADVISORS
CRD#: 112139 / SEC#: 801-60424
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(11/18/2020)
(7/27/2023)
Exams
Current Firm
HBKS WEALTH ADVISORS
CRD#: 112139 / SEC#: 801-60424
Contact information
SEC notice filing (30 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 21,190 |
| AUM (Assets Under Management) | $ 7,661,939,874 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/25/2024 | ||
| 07/28/2023 |
Red Flags
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