William W. Anderson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Walter Anderson, who also goes by Walt Anderson, William W Anderson, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1974. William had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 3, PC, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 2019 - August 9, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
March 5, 2019 - August 9, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
April 19, 2004 - March 5, 2019
COMMONWEALTH FINANCIAL NETWORK
April 19, 2004 - March 5, 2019
COMMONWEALTH FINANCIAL NETWORK
October 1, 1999 - April 21, 2004
WELLS FARGO CLEARING SERVICES, LLC
October 1, 1999 - April 21, 2004
WELLS FARGO CLEARING SERVICES, LLC
June 16, 1997 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
May 25, 1988 - June 17, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 14, 1984 - May 13, 1988
UBS FINANCIAL SERVICES INC.
June 19, 1980 - June 9, 1984
MORGAN STANLEY DW INC.
September 25, 1979 - July 9, 1980
TOWER INVESTMENT MANAGEMENT, INC.
September 26, 1978 - October 28, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 5, 1975 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
September 25, 1974 - January 18, 1976
BACHE & CO INCORPORATED
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 11/12/1984
Foreign Currency Options ExaminationSeries 5
Date: 10/22/1984
Interest Rate Options ExaminationPC
Date: 9/28/1981
AMEX Put and Call ExamSeries 8
Date: 7/30/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
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.
