William R. Clifton
KESTRA ADVISORY SERVICES
Woodstock, GA
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CRD#: 6652265
Professional summary
William R Clifton, CFP®, who also goes by William Clifton, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Woodstock, Georgia and KESTRA INVESTMENT SERVICES, LLC located in Milledgeville, Georgia.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. William has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
William Clifton
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.
1) (dba) PROTECTIVE FINANCIAL SERVICES; INVESTMENT RELATED; 2727 N COLUMBIA STREET, MILLEDGEVILLE, GA 31061; INSURANCE & FINANCIAL SERVICES; FINANCIAL PLANNER; START DATE 05/2016; 160 HOURS PER MONTH WITH ALL HOURS OCCURRING DURING TRADING HOURS; MEET WITH CLIENTS TO REVIEW THEIR FINANCES TO HELP THEM MEET THEIR OBJECTIVES AND GOALS. ASSIST FINANCIAL ADVISORS BY LOGGING NOTES AND FOLLOWING UP ON TASKS RELATED TO THEIR CLIENT MEETINGS.//2) WILLIAM CLIFTON; INVESTMENT RELATED; 2727 N COLUMBIA STREET, MILLEDGEVILLE, GA 31061; INSURANCE; INDEPENDENT PRODUCER; START DATE 02/2017; SERVE CLIENTS WHO NEED LIFE INSURANCE. PROTECTIVE FINANCIAL SERVICES POSITION: Financial Planner NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 104 START DATE: 05/17/2022 ADDRESS: 2727 North Columbia St, Milledgeville GA 31061, United States DESCRIPTION: To act in the client's best interest. To create financial plans for clients. To regularly report on the progress of the financial plan. KESTRA ADVISORY SERVICES, LLC POSITION: Financial Planner NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 100 START DATE: 05/02/2022 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400,, Austin TX 78735, United States DESCRIPTION: Due diligence in the accounts we recommend. Discussing with financial planning clients why these accounts are in their best interest given the goals they have set forward. Meeting regularly to reevaluate the account with the client.
CRS (Client Relationship Summary) - RIA
Click below to view William R Clifton'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®
CFP®
Start date: 2020
Experience
Current
May 3, 2022 - Present
KESTRA ADVISORY SERVICES, LLC
Office #2: 2727 North Columbia Street, Milledgeville, GA 31061RIA
CRD#: 283330
Woodstock, GA
Current
May 2, 2022 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 2727 North Columbia Street, Milledgeville, GA 31061BD
CRD#: 42046
Milledgeville, GA
Past
November 28, 2017 - May 2, 2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
MILLEDGEVILLE, GA
Past
September 14, 2017 - May 2, 2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
MILLEDGEVILLE, GA
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/2/2022)
RR
Arkansas(5/2/2022)
RR
California(5/2/2022)
RR
Florida(5/2/2022)
RR
Georgia(5/2/2022)
IAR
Georgia(5/3/2022)
RR
Indiana(10/2/2024)
RR
Massachusetts(5/2/2022)
RR
New York(5/2/2022)
RR
North Carolina(5/2/2022)
RR
South Carolina(5/2/2022)
RR
Virginia(5/2/2022)
RR
Washington(5/18/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
