WC
William C. Causey
ALLY INVEST ADVISORS
Paragould, AR
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CRD#: 6952600
WC
Professional summary
William Chase Causey, who also goes by Chase Causey, is a registered financial advisor currently at ALLY INVEST ADVISORS located in Paragould, Arkansas and ALLY INVEST SECURITIES LLC located in Perry Township, Ohio.
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 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chase Causey
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 name of the other business; Ally Bank whether the business is investment-related; No the address of the other business; 601 S. Tryon St. Charlotte NC 28202 the nature of the other business; Banking your position; Contact Center Representative the start date of your relationship; 9/26/2022 the approximate number of hours/month you devote to the other business; 160 the number of hours you devote to the other business during securities trading hours; 160 and briefly describe your duties relating to the other business; Support Ally Bank customers by performing account maintenance (e.g., password reset, account information updates), money movements (e.g. deposits, withdrawals, CD renewals, etc.), and providing education on deposit product offerings (e.g., Savings/Checking accounts, CDs, etc.). Ally Invest Advisors. Investment related. 601 S Tryon Street Charlotte NC 28202. Specialist-Invest Premr Svcs. Dually licensed. 12/21/2022. hrs/month vary. Dually registered associate. Provide account details for investment accounts/online navigation for Wealth clients
CRS (Client Relationship Summary) - RIA
Click below to view William Chase Causey'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®
NoneExperience
Current
October 7, 2021 - Present
ALLY INVEST ADVISORS
RIA
CRD#: 170301
Paragould, AR
Current
June 17, 2021 - Present
ALLY INVEST SECURITIES LLC
BD
CRD#: 136131
Perry Township, OH
Past
August 3, 2018 - April 1, 2021
EDWARD JONES
RIA
CRD#: 250
JONESBORO, AR
Past
July 13, 2018 - April 1, 2021
EDWARD JONES
BD
CRD#: 250
JONESBORO, AR
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".
AI
ALLY INVEST ADVISORS
ALLY INVEST ADVISORS | TRADEKING ADVISORS, INC. | ONE MARKET ADVISORS, LLC | ONE MARKET ADVISORS, INC. | ONE MARKET ADVISORS | ALLY INVEST ADVISORS INC
CRD#: 170301 / SEC#: 801-79305
RIA
Registered Investment Advisory firm - (3/27/2014 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(6/17/2021)
RR
Alaska(6/17/2021)
RR
Arizona(6/17/2021)
RR
Arkansas(6/17/2021)
IAR
Arkansas(10/7/2021)
RR
California(6/17/2021)
RR
Colorado(6/17/2021)
RR
Connecticut(6/17/2021)
RR
Delaware(6/17/2021)
RR
District of Columbia(6/17/2021)
RR
Florida(6/17/2021)
RR
Georgia(6/17/2021)
RR
Hawaii(6/17/2021)
RR
Idaho(6/17/2021)
RR
Illinois(6/17/2021)
RR
Indiana(6/17/2021)
RR
Iowa(6/17/2021)
RR
Kansas(6/17/2021)
RR
Kentucky(6/17/2021)
RR
Louisiana(6/17/2021)
RR
Maine(6/17/2021)
RR
Maryland(6/17/2021)
RR
Massachusetts(6/17/2021)
RR
Michigan(6/17/2021)
RR
Minnesota(6/17/2021)
RR
Mississippi(6/17/2021)
RR
Missouri(6/17/2021)
RR
Montana(6/17/2021)
RR
Nebraska(6/17/2021)
RR
Nevada(6/17/2021)
RR
New Hampshire(6/17/2021)
RR
New Jersey(6/17/2021)
RR
New Mexico(6/17/2021)
RR
New York(6/17/2021)
RR
North Carolina(6/17/2021)
RR
North Dakota(6/17/2021)
RR
Ohio(6/17/2021)
RR
Oklahoma(6/17/2021)
RR
Oregon(6/17/2021)
RR
Pennsylvania(6/17/2021)
RR
Puerto Rico(6/17/2021)
RR
Rhode Island(6/17/2021)
RR
South Carolina(6/17/2021)
RR
South Dakota(6/17/2021)
RR
Tennessee(6/17/2021)
RR
Texas(6/17/2021)
RR
Utah(6/17/2021)
RR
Vermont(6/17/2021)
RR
Virginia(6/17/2021)
RR
Washington(6/17/2021)
RR
West Virginia(6/17/2021)
RR
Wisconsin(6/17/2021)
RR
Wyoming(6/17/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AI
ALLY INVEST ADVISORS
ALLY INVEST ADVISORS | TRADEKING ADVISORS, INC. | ONE MARKET ADVISORS, LLC | ONE MARKET ADVISORS, INC. | ONE MARKET ADVISORS | ALLY INVEST ADVISORS INC
CRD#: 170301 / SEC#: 801-79305
RIA
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Contact information
Main Address
601 S. Tryon Street Suite 100, Charlotte, NC 28202
Mailing Address
Phone number
(855) 880-2559
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 76,058 |
| AUM (Assets Under Management) | $ 1,389,572,606 |
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.
