William W. Roller

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CRD#: 7062885

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 Roller, who also goes by Roller Walter William, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 2019. William had worked at 4 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Roller Walter William

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) Musician at William Roller Music, a music production company. Organization's primary address is in Cohoes, NY. Organization is not primarily engaged in investment-related activity. Start Date is February 2nd, 2021. Twenty hours per month. Duties include writing, performing, and producing original music and distributing to music streaming platforms.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 17, 2023 - December 1, 2023

REMOTIV / FINANCIAL SOUNDINGS

RIA

CRD#: 146082

COCONUT GROVE, FL

Past

January 4, 2021 - May 5, 2023

GOLDMAN SACHS & CO. LLC

CRD#: 361

COHOES, NY

Past

May 20, 2019 - January 4, 2021

MERCER ALLIED COMPANY, L.P.

CRD#: 37404

COHOES, NY

Past

February 12, 2019 - May 5, 2023

GOLDMAN SACHS WEALTH SERVICES, L.P.

RIA

CRD#: 106693

COHOES, NY

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".

REMOTIV / FINANCIAL SOUNDINGS

CRD#: 146082 / SEC#: 801-69584

RIA

Registered Investment Advisory firm - (9/19/2008 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 7/26/2019

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/12/2019

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/20/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/12/2019

Securities Industry Essentials Examination

Current Firm

REMOTIV / FINANCIAL SOUNDINGS

CRD#: 146082 / SEC#: 801-69584

RIA

Registered Investment Advisory firm - (9/19/2008 Approved)

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Contact information

Main Address

3350 Virginia Street 2nd Floor, Coconut Grove, FL 33133-5336

Mailing Address

Phone number

(786) 697-0839

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

REMOTIV LLC BROCHURE FOR FINANCIAL INSTITUTIONS 2025 (3/27/2025)

REMOTIV LLC BROCHURE FOR INDIVIDUAL RETIREMENT ACCOUNT HOLDERS 2025 (3/27/2025)

REMOTIV LLC BROCHURE FOR INDIVIDUALS UNDER A RETIREMENT PLAN (3/27/2025)

REMOTIV LLC BROCHURE FOR RETIREMENT PLAN FIDUCIARIES 2025 (3/27/2025)

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 W. Roller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

REMOTIV / FINANCIAL SOUNDINGS

GOLDMAN SACHS & CO. LLC

MERCER ALLIED COMPANY, L.P.

GOLDMAN SACHS WEALTH SERVICES, L.P.

Primary Firm SEC Registration

REMOTIV / FINANCIAL SOUNDINGS

State Registrations and Notice Filings

Exams

Series 63

Date: 7/26/2019

Series 65

Date: 2/12/2019

Series 7TO

Date: 5/20/2019

SIE

Date: 3/12/2019

Current Firm

REMOTIV / FINANCIAL SOUNDINGS

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

REMOTIV / FINANCIAL SOUNDINGS

TRUST BUT VERIFY

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