William O. Rispoli

SALEM ADVISORY GROUP LLC

Wells, ME 04090

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CRD#: 6574656

Professional summary

William O'shea Rispoli II, who also goes by William Rispoli, is a registered financial advisor currently at SALEM ADVISORY GROUP LLC located in Wells, Maine.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. William has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

William Rispoli

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 O'shea Rispoli II's 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®

None

Experience

Current

January 19, 2016 - Present

SALEM ADVISORY GROUP LLC

Office #1: 1332 Post Road Suite 2a, Wells, ME 04090

RIA

CRD#: 145697

Wells, ME

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

Florida
(5/18/2016)

IAR

Maine
(1/19/2016)

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 65

Date: 12/15/2015

Uniform Investment Adviser Law Examination

Current Firm

SALEM ADVISORY GROUP LLC

SALEM ADVISORY GROUP LLC | STAFFORD ADVISORY GROUP LLC

CRD#: 145697 / SEC#:

Connecticut

Registered Investment Advisory firm - (12/6/2021 Terminated)

Florida

Registered Investment Advisory firm - (12/16/2014 Approved)

Maine

Registered Investment Advisory firm - (1/7/2008 Approved)

Massachusetts

Registered Investment Advisory firm - (1/2/2015 Approved)

New Hampshire

Registered Investment Advisory firm - (2/11/2014 Approved)

North Carolina

Registered Investment Advisory firm - (11/24/2021 Terminated)

Ohio

Registered Investment Advisory firm - (4/29/2019 Approved)

Texas

Registered Investment Advisory firm - (1/10/2018 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1332 Post Road Suite 2a, Wells, ME 04090

Mailing Address

1332 Post Road Suite 2a, Wells, ME 04090

Phone number

(207) 641-8332

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	476
AUM (Assets Under Management)	$ 65,761,363

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 O. Rispoli

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William O'shea Rispoli II's CRS (Customer Relationship Summary).

Certified licenses

Experience

SALEM ADVISORY GROUP LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/15/2015

Current Firm

SALEM ADVISORY GROUP LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SALEM ADVISORY GROUP LLC

TRUST BUT VERIFY

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