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WY

William M. Yates

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CRD#: 841584
WY

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 Mccullough Yates was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1977. William had worked at 4 firms and has passed the Series 6TO, SIE and Series 1 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

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

February 10, 2011 - November 6, 2020

AVALON INVESTMENT & SECURITIES GROUP, INC.

BD
CRD#: 6281
MUSCLE SHOALS, AL
Past

December 11, 2008 - November 12, 2009

THE TAVENNER COMPANY

BD
CRD#: 18004
SPRINGFIELD, OH
Past

April 9, 1980 - November 10, 2006

NEW ENGLAND SECURITIES

BD
CRD#: 615
HUNTSVILLE, AL
Past

August 16, 1977 - May 8, 1980

AMERICAN GENERAL EQUITY SERVICES CORPORATION

BD
CRD#: 5435

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

General Industry/Product Exam
RR
Series 6TO
Date: 3/25/2024
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 8/8/1977
Registered Representative Examination

Current Firm

AI
AVALON INVESTMENT & SECURITIES GROUP, INC.
AVALON INVESTMENT & SECURITIES GROUP, INC. | DAS A. BORDEN & ASSOCIATES

CRD#: 6281 / SEC#: , 8-17078

BD
Cancelled by SEC on 06/14/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
Alabama since 03/31/1972
Firm type
Corporation
Fiscal year end
March
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BORDEN, DAS ARNOLDPRESIDENT, AND 100 % OWNER26096
BORDEN, DAS ARNOLDCHIEF EXECUTIVE OFFICER26096
ANDERS, WILLIAM TROY IIICHIEF COMPLIANCE OFFICER4170321

Disclosures

Regulatory Event14

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

AVALON INVESTMENT & SECURITIES GROUP, INC.

CRD#: 6281

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