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KG

Kimball E. Gwilliam

WATTS GWILLIAM & COMPANY
Gilbert, AZ 85295
Some features on this profile are disabled
CRD#: 7816789
KG

Professional summary

Kimball E Gwilliam is a registered financial advisor currently at WATTS GWILLIAM & COMPANY, LLC located in Gilbert, Arizona.

Kimball is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Kimball has worked at 1 firm and has passed the Series 65 exam.

top-8-questions

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kimball E Gwilliam'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 18, 2023 - Present

WATTS GWILLIAM & COMPANY, LLC

Office #1: 2730 S. Val Vista Dr. Suite 124, Gilbert, AZ 85295
RIA
CRD#: 131458
Gilbert, AZ

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".
WG
WATTS GWILLIAM & COMPANY, LLC
OPTIC ASSET MANAGEMENT | WATTS GWILLIAM & COMPANY, LLC | WATTS GWILLIAM

CRD#: 131458 / SEC#: 801-63078

RIA
Registered Investment Advisory firm - (4/23/2004 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
Arizona
(10/18/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/28/2023
Uniform Investment Adviser Law Examination

Current Firm

WG
WATTS GWILLIAM & COMPANY, LLC
OPTIC ASSET MANAGEMENT | WATTS GWILLIAM & COMPANY, LLC | WATTS GWILLIAM

CRD#: 131458 / SEC#: 801-63078

RIA
Registered Investment Advisory firm - (4/23/2004 Approved)
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Contact information

Main Address
2730 S. Val Vista Dr. Suite 124, Gilbert, AZ 85295
Mailing Address
Phone number
(480) 889-8998
Established
Firm type
Fiscal year end
# of Employees
9

SEC notice filing (18 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WATTS GWILLIAM BROCHURE JANUARY 2025 (2/18/2025)

Regulatory assets under management

Total Number of Accounts1,152
AUM (Assets Under Management)$ 818,900,000

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

WATTS GWILLIAM & COMPANY, LLC

CRD#: 131458Gilbert, AZ 85295

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