William E. Duffel

HUNTLEIGH ADVISORS

Cordova, TN 38018

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CRD#: 7602233

Professional summary

William Edward Duffel III is a registered financial advisor currently at HUNTLEIGH ADVISORS, INC. located in Cordova, Tennessee and HUNTLEIGH SECURITIES CORPORATION located in Memphis, Tennessee.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. William has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

East Memphis Home Services; Non-investment related; Memphis, TN; Home services; Owner; Since 01/2020; Time: 10-15 hours/week; Business provides exterior cleaning services to residential clients

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Edward Duffel III'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

October 19, 2022 - Present

HUNTLEIGH ADVISORS, INC.

Office #1: 154 Timber Creek Rd., Suite 1, Cordova, TN 38018

RIA

CRD#: 113412

Cordova, TN

Current

September 4, 2022 - Present

HUNTLEIGH SECURITIES CORPORATION

Office #1: 154 Timber Creek Suite 1, Memphis, TN 38018

CRD#: 7456

Memphis, TN

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".

HUNTLEIGH ADVISORS, INC.

HUNTLEIGH ADVISORS, INC. | THE HUNTLEIGH GROUP

CRD#: 113412 / SEC#: 801-62677

RIA

Registered Investment Advisory firm - (1/22/2004 Approved)

Illinois

Registered Investment Advisory firm - (5/7/2004 Terminated)

Missouri

Registered Investment Advisory firm - (11/17/2004 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

IAR

Missouri
(10/19/2022)

IAR

Tennessee
(10/20/2022)

Tennessee
(1/6/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/5/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/3/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 1/5/2022

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

HUNTLEIGH ADVISORS, INC.

HUNTLEIGH ADVISORS, INC. | THE HUNTLEIGH GROUP

CRD#: 113412 / SEC#: 801-62677

RIA

Registered Investment Advisory firm - (1/22/2004 Approved)

Illinois

Registered Investment Advisory firm - (5/7/2004 Terminated)

Missouri

Registered Investment Advisory firm - (11/17/2004 Terminated)

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Contact information

Main Address

7800 Forsyth Blvd. 5th Floor, St. Louis, MO 63105

Mailing Address

Phone number

(314) 236-2400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (38 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A & 2B (7/28/2025)

Regulatory assets under management

Total Number of Accounts	1,628
AUM (Assets Under Management)	$ 626,466,687

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 E. Duffel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Edward Duffel III's CRS (Customer Relationship Summary).

Certified licenses

Experience

HUNTLEIGH ADVISORS, INC.

HUNTLEIGH SECURITIES CORPORATION

Primary Firm SEC Registration

HUNTLEIGH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/5/2022

Series 7TO

Date: 9/3/2022

SIE

Date: 1/5/2022

FINRA

Current Firm

HUNTLEIGH ADVISORS, INC.

Contact information

SEC notice filing (38 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HUNTLEIGH ADVISORS, INC.

TRUST BUT VERIFY

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