William L. Florida

ADVISORY RESEARCH

Chicago, IL 60601

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CRD#: 7062943

Professional summary

William Louis Florida, who also goes by William L Florida, is a registered financial advisor currently at ADVISORY RESEARCH INC located in Chicago, Illinois.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. William has worked at 3 firms and has passed the Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

William L Florida

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) Pritzker School of Molecular Engineering; Chicago IL; Non-Investment Related; Began 01/2011; Member of Dean's Advisory Council; Advise Dean as one of approx.15 Council members, Attend Council Meetings 2x/year. Serve as a member of Nominating Committee and Urban Education Committee; 1 hour per month with 0 hours during trading hours 2) Japan America Society of Chicago; Chicago, IL; Non-Investment Related; Began 01/2008; Not for profit, international friendship society; Director; Serve as one of approx. 80 directors for the society, renew annually. Minimal volunteer work, attend programs of the society; 1 hour per month with 0 hours during trading hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Louis Florida's CRS (Customer Relationship Summary).

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

April 27, 2025 - Present

ADVISORY RESEARCH INC

Office #1: 180 N Stetson Avenue Suite 5500, Chicago, IL 60601

RIA

CRD#: 108254

Chicago, IL

Past

December 10, 2021 - December 31, 2023

FORESIDE FINANCIAL SERVICES, LLC

CRD#: 148477

Chicago, IL

Past

March 29, 2019 - October 8, 2019

PIPER SANDLER & CO.

CRD#: 665

Chicago, IL

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".

ADVISORY RESEARCH INC

ADVISORY RESEARCH INC | FAMCO MLP | ADVISORY RESEARCH INVESTMENT MANAGEMENT

CRD#: 108254 / SEC#: 801-14172

RIA

Registered Investment Advisory firm - (11/7/1978 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.

Highlighted states indicate IAR registrations

IAR

Illinois
(4/27/2025)

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: 1/8/2022

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/29/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/29/2019

Securities Industry Essentials Examination

Current Firm

ADVISORY RESEARCH INC

ADVISORY RESEARCH INC | FAMCO MLP | ADVISORY RESEARCH INVESTMENT MANAGEMENT

CRD#: 108254 / SEC#: 801-14172

RIA

Registered Investment Advisory firm - (11/7/1978 Approved)

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Contact information

Main Address

180 N Stetson Avenue Suite 5500, Chicago, IL 60601

Mailing Address

Phone number

(312) 565-1414

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADVISORY RESEARCH INC. ADV PART 2A 08202025 (8/20/2025)

Regulatory assets under management

Total Number of Accounts	293
AUM (Assets Under Management)	$ 721,521,157

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 L. Florida

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Louis Florida's CRS (Customer Relationship Summary).

Certified licenses

Experience

ADVISORY RESEARCH INC

FORESIDE FINANCIAL SERVICES, LLC

PIPER SANDLER & CO.

Primary Firm SEC Registration

ADVISORY RESEARCH INC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/8/2022

Series 7TO

Date: 3/29/2019

SIE

Date: 3/29/2019

Current Firm

ADVISORY RESEARCH INC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ADVISORY RESEARCH INC

TRUST BUT VERIFY

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