William F. Cartee
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 Franklin Cartee IV, who also goes by Billy Franklin Cartee, William Franklin Cartee, William Cartee, William Franklin Cartee IV, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2014. William had worked at 4 firms and has passed the Series 65, Series 63, 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
April 2, 2021 - January 27, 2023
EDELMAN FINANCIAL ENGINES
June 25, 2019 - April 1, 2021
FISHER INVESTMENTS
June 29, 2016 - June 7, 2018
LEARNVEST PLANNING SERVICES, LLC
August 5, 2015 - July 12, 2016
EDELMAN FINANCIAL ENGINES
April 23, 2014 - January 29, 2015
NATIONAL PLANNING CORPORATION
Primary Firm SEC Registration
EDELMAN FINANCIAL ENGINES
CRD#: 104510 / SEC#: 801-55196
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
EDELMAN FINANCIAL ENGINES
CRD#: 104510 / SEC#: 801-55196
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,552,934 |
| AUM (Assets Under Management) | $ 292,902,969,770 |
Red Flags
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