William H. Metz

FELTL ADVISORS

Chicago, IL

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CRD#: 808295

Professional summary

William Henry Metz, who also goes by William H Metz, is a registered financial advisor currently at FELTL ADVISORS located in Chicago, Illinois and FELTL & COMPANY located in Plymouth, Minnesota.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1975. William has worked at 17 firms and has passed the Series 65, Series 63, SIE, PC, Series 7 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

William H Metz

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 William Henry Metz'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

July 18, 2013 - Present

FELTL ADVISORS

RIA

CRD#: 165244

Chicago, IL

Current

November 23, 2012 - Present

FELTL & COMPANY

Office #1: One Carlson Parkway North Suite 225, Plymouth, MN 55447

CRD#: 6905

Plymouth, MN

Past

November 26, 2012 - December 20, 2013

FELTL & COMPANY

RIA

CRD#: 6905

CHICAGO, IL

Past

October 11, 2005 - November 19, 2012

ADVANCED EQUITIES, INC.

RIA

CRD#: 35545

CHICAGO, IL

Past

August 25, 2005 - November 19, 2012

ADVANCED EQUITIES, INC.

CRD#: 35545

CHICAGO, IL

Past

October 11, 2000 - August 30, 2005

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

July 1, 1998 - October 27, 2000

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

January 22, 1991 - July 1, 1998

FINANCIAL SQUARE PARTNERS

CRD#: 1541

NEW YORK, NY

Past

March 1, 1989 - January 3, 1991

MESIROW INVESTMENT SERVICES, INC.

CRD#: 15113

Past

December 2, 1987 - March 13, 1989

HAMBRECHT & QUIST LLC

CRD#: 940

Past

May 9, 1985 - December 11, 1987

CIBC WORLD MARKETS CORP.

CRD#: 630

Past

October 4, 1982 - May 17, 1985

J.P. MORGAN SECURITIES LLC

CRD#: 79

Past

February 10, 1981 - October 6, 1982

LM CONSOLIDATED FINANCIAL CORP.

CRD#: 789

Past

May 2, 1979 - March 9, 1981

NEWHARD, COOK & CO. INCORPORATED

CRD#: 619

Past

September 29, 1977 - May 26, 1979

LOWELL H. LISTROM & COMPANY INC.

CRD#: 6336

Past

December 3, 1975 - November 21, 1977

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Past

May 28, 1975 - November 20, 1975

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

May 28, 1975 - November 20, 1975

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

May 28, 1975 - November 20, 1975

IDS LIFE INSURANCE COMPANY

CRD#: 6321

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".

FELTL ADVISORS

FELTL ADVISORS | FELTL ADVISORS, LLC

CRD#: 165244 / SEC#: 801-77347

RIA

Registered Investment Advisory firm - (11/1/2012 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.

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

Florida
(12/18/2012)

Georgia
(12/13/2012)

Illinois
(11/26/2012)

IAR

Illinois
(7/18/2013)

Michigan
(11/23/2012)

Washington
(11/27/2012)

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 65

Date: 10/6/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/2/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

PC

Date: 2/13/1991

AMEX Put and Call Exam

General Industry/Product Exam

Series 7

Date: 12/20/1975

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 5/16/1975

Registered Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

FELTL ADVISORS

FELTL ADVISORS | FELTL ADVISORS, LLC

CRD#: 165244 / SEC#: 801-77347

RIA

Registered Investment Advisory firm - (11/1/2012 Approved)

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Contact information

Main Address

One Carlson Parkway North Suite 225, Plymouth, MN 55447

Mailing Address

Phone number

(612) 492-8800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (23 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FELTL ADVISORS FIRM BROCHURE (3/24/2025)

Regulatory assets under management

Total Number of Accounts	523
AUM (Assets Under Management)	$ 132,417,421

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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Firm Stability Insights

William H. Metz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Henry Metz's CRS (Customer Relationship Summary).

Certified licenses

Experience

FELTL & COMPANY

FELTL & COMPANY

ADVANCED EQUITIES, INC.

ADVANCED EQUITIES, INC.

LEHMAN BROTHERS INC.

COWEN AND COMPANY

FINANCIAL SQUARE PARTNERS

MESIROW INVESTMENT SERVICES, INC.

HAMBRECHT & QUIST LLC

CIBC WORLD MARKETS CORP.

J.P. MORGAN SECURITIES LLC

LM CONSOLIDATED FINANCIAL CORP.

NEWHARD, COOK & CO. INCORPORATED

LOWELL H. LISTROM & COMPANY INC.

CITIGROUP GLOBAL MARKETS INC.

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

Primary Firm SEC Registration

FELTL ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 10/6/2005

Series 63

Date: 3/2/1984

SIE

Date: 10/1/2018

PC

Date: 2/13/1991

Series 7

Date: 12/20/1975

Series 1

Date: 5/16/1975

FINRA

Nasdaq Stock Market

Current Firm

FELTL ADVISORS

Contact information

SEC notice filing (23 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FELTL ADVISORS

TRUST BUT VERIFY

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