William M. Folberth
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 Mitchell Folberth III, CFP®, who also goes by Biff Folberth, William M Folberth, William Mitchell Folberth, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1978. William had worked at 6 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1987
Experience
January 19, 2016 - January 17, 2018
CAPITAL BANK AND TRUST COMPANY
January 5, 2005 - January 19, 2016
CAPITAL GUARDIAN TRUST COMPANY
August 21, 1985 - February 15, 1990
KAUFMAN FOLBERTH FINANCIAL GROUP
March 26, 1985 - July 30, 1988
THE INVESTMENT GROUP SECURITIES CORP.
December 31, 1979 - March 26, 1985
CITIGROUP GLOBAL MARKETS INC.
July 24, 1978 - January 18, 1980
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
CAPITAL BANK AND TRUST COMPANY
CRD#: 170017 / SEC#: 801-79234
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CAPITAL BANK AND TRUST COMPANY
CRD#: 170017 / SEC#: 801-79234
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 579 |
| AUM (Assets Under Management) | $ 139,294,588,096 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2026 | ||
| 10/24/2024 | ||
| 07/28/2023 |
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.
