William Bo
Professional summary
William Bo, who also goes by William R Bo, William Bo, Bill Bo, is a registered financial advisor currently at DUNHAM located in San Diego, California.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. William has worked at 10 firms and has passed the Series 66, Series 7TO, SIE, Series 99 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view William Bo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Bo's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 8, 2023 - Present
DUNHAM
Office #1: 6256 Greenwich Drive Suite 550, San Diego, CA 92122Office #2: 6256 Greenwich Drive Suite 550, San Diego, CA 92122Office #3: 6256 Greenwich Drive Suite 550, San Diego, CA 92122March 8, 2023 - Present
DUNHAM
Office #1: 6256 Greenwich Drive Suite 550, San Diego, CA 92122Office #2: 6256 Greenwich Drive Suite 550, San Diego, CA 92122Office #3: 6256 Greenwich Drive Suite 550, San Diego, CA 92122September 30, 2022 - March 3, 2023
WESTERN INTERNATIONAL SECURITIES, INC.
September 30, 2022 - March 3, 2023
SORRENTO PACIFIC FINANCIAL, LLC
September 30, 2022 - March 3, 2023
SCF SECURITIES, INC.
September 30, 2022 - March 3, 2023
NEXT FINANCIAL GROUP, INC.
September 30, 2022 - March 3, 2023
CADARET, GRANT & CO., INC.
August 30, 2022 - March 3, 2023
CUSO FINANCIAL SERVICES, L.P.
August 29, 2022 - March 3, 2023
CUSO FINANCIAL SERVICES, L.P.
September 16, 2021 - August 30, 2022
LPL FINANCIAL LLC
September 16, 2021 - August 30, 2022
LPL FINANCIAL LLC
June 17, 2021 - August 10, 2021
FIDELITY BROKERAGE SERVICES LLC
January 2, 2020 - October 20, 2020
COMMONWEALTH FINANCIAL NETWORK
December 27, 2018 - October 20, 2020
COMMONWEALTH FINANCIAL NETWORK
Primary Firm SEC Registration
DUNHAM
CRD#: 13162 / SEC#: 801-25803, 8-28527
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/8/2023)
(3/8/2023)
Exams
Series 7TO
Date: 3/11/2019
General Securities Representative ExaminationFINRA
Current Firm
DUNHAM
CRD#: 13162 / SEC#: 801-25803, 8-28527
Contact information
SEC notice filing (10 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DUNHAM & ASSOCIATES HOLDINGS, INC. | SHAREHOLDER | |
| BOISCH, HELMUT | CHIEF OPERATIONS OFFICER | 5371920 |
| CAPIZZI, SALVATORE MICHAEL | CHIEF SALES AND MARKETING OFFICER | 1037757 |
| DUNHAM, JEFFREY ALAN | CHIEF EXECUTIVE OFFICER | 1149167 |
| DYKMANS, RYAN JOHN | PRESIDENT AND CHIEF INVESTMENT OFFICER | 4847419 |
| GARDYNE, JENNIFER KIM | CHIEF FINANCIAL OFFICER | 8188759 |
| PALERMO, VIKTORIA IRENA | CHIEF COMPLIANCE OFFICER | 4769903 |
Regulatory assets under management
| Total Number of Accounts | 12,032 |
| AUM (Assets Under Management) | $ 4,737,607,372 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/29/2025 | ||
| 10/23/2024 | ||
| 07/26/2023 |
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.
