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William L. Effinger

Some features on this profile are disabled
CRD#: 75986
WE

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 Louis Effinger III, who also goes by Bill Effinger III, William Louis Effinger, was a registered financial advisor .

William is a previously registered financial advisor and started their career in finance in 1972. William had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5, Series 1, Series 4, Series 12 and Series 40 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bill Effinger Iii | William Louis Effinger

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 advisor shows no other business activity.

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

June 20, 2016 - December 15, 2017

CROFT & BENDER, LP

BD
CRD#: 46680
ATLANTA, GA
Past

September 13, 2005 - June 17, 2015

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
ATLANTA, GA
Past

May 31, 2005 - June 17, 2015

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
ATLANTA, GA
Past

August 27, 1999 - June 3, 2005

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH
Past

December 1, 1976 - April 15, 1996

THE ROBINSON-HUMPHREY COMPANY, LLC

BD
CRD#: 723
Past

December 4, 1972 - August 27, 1999

THE ROBINSON-HUMPHREY COMPANY, LLC

BD
CRD#: 723
ATLANTA, GA

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 10/6/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/3/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/15/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 10/5/1983
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 5
Date: 10/26/1981
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 1
Date: 11/20/1972
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/21/1977
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 12
Date: 11/24/1976
NYSE Branch Manager Examination
Principal/Supervisory Exam
RR
Series 40
Date: 11/24/1976
Registered Principal Examination

Current Firm

C&
CROFT & BENDER, LP
CROFT & BENDER, LLC | CROFT & BENDER, LP

CRD#: 46680 / SEC#: 802-110053, 8-51520

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
4401 Northside Parkway, Suite 395, Atlanta, GA 30327
Mailing Address
4401 Northside Parkway, Suite 395, Atlanta, GA 30327
Phone number
(404) 841-3131
Established
Georgia since 12/31/2014
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (28 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
BRIGGS, FRANK HAY IIIOWNER/CO-CEO4124223
GOLDMAN, RONALD BRUCEOWNER/CHIEF COMPLIANCE OFFICER/CO-CEO3061431
TYE, STEVE BOMAROWNER/CO-CEO2781172
AGERTON, DEBORAH LYNNFINOP/CFO4460597

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
SEC / JURISDICTIONREPORTING STATUSEFFECTIVE DATE
SECERA - Active2/18/2017

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.

Company Information

CROFT & BENDER, LP

CRD#: 46680

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