William E. Shafroth

AVIOR WEALTH MANAGEMENT

OMAHA, NE 68154

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CRD#: 6388027

Professional summary

William Evans Shafroth, CFP®, who also goes by William Shafroth, is a registered financial advisor currently at AVIOR WEALTH MANAGEMENT, LLC located in Omaha, Nebraska.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. William has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

William Shafroth

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Evans Shafroth's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2018

Experience

Current

October 31, 2018 - Present

AVIOR WEALTH MANAGEMENT, LLC

Office #1: 14301 First National Bank Parkway Suite 410, Omaha, NE 68154

RIA

CRD#: 148674

OMAHA, NE

Past

July 13, 2018 - September 24, 2018

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

BOSTON, MA

Past

July 20, 2016 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

OMAHA, NE

Past

July 14, 2016 - September 11, 2018

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

OMAHA, NE

Past

November 5, 2014 - May 8, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

DENVER, CO

Past

October 10, 2014 - May 8, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

DENVER, CO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AVIOR WEALTH MANAGEMENT, LLC

CRD#: 148674 / SEC#: 801-69773

RIA

Registered Investment Advisory firm - (12/4/2008 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Nebraska
(10/31/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/4/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 9/11/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/10/2014

General Securities Representative Examination

Current Firm

AVIOR WEALTH MANAGEMENT, LLC

CRD#: 148674 / SEC#: 801-69773

RIA

Registered Investment Advisory firm - (12/4/2008 Approved)

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Contact information

Main Address

14301 First National Bank Parkway Suite 410, Omaha, NE 68154

Mailing Address

Phone number

(402) 218-4064

Established

Firm type

Fiscal year end

# of Employees

201

SEC notice filing (42 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AVIOR ADV 2A 3/2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	4,385
AUM (Assets Under Management)	$ 5,083,670,234

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.

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William E. Shafroth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Evans Shafroth's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDELITY PERSONAL AND WORKPLACE ADVISORS

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

AVIOR WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/4/2014

SIE

Date: 9/11/2018

Series 7

Date: 10/10/2014

Current Firm

AVIOR WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (42 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AVIOR WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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