William E. Taber

TABER ASSET MANAGEMENT L.L.C.

Des Moines, IA

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CRD#: 873507

Professional summary

William Emmett Taber, who also goes by Bill Taber, is a registered financial advisor currently at TABER ASSET MANAGEMENT L.L.C. located in Des Moines, Iowa.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1979. William has worked at 5 firms and has passed the Series 65, Series 63, Series 5, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bill Taber

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.

Member of Taber Virtual Global Investment Network LLC, not investment related, Des Moines, Iowa. Start Date 2008. Nature of business: General Consulting, and the business is not active at this time. 0 hours spent, 0 hours during trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Emmett Taber's 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

January 28, 1999 - Present

TABER ASSET MANAGEMENT L.L.C.

RIA

CRD#: 115849

Des Moines, IA

Past

February 19, 2009 - May 6, 2011

NATIONS FINANCIAL GROUP, INC.

CRD#: 44181

DES MOINES, IA

Past

February 2, 2007 - June 11, 2007

NATIONS FINANCIAL GROUP, INC.

CRD#: 44181

DES MOINES, IA

Past

July 13, 2000 - April 7, 2005

NATIONS FINANCIAL GROUP, INC.

RIA

CRD#: 44181

DES MOINES, IA

Past

July 7, 1998 - May 9, 2005

NATIONS FINANCIAL GROUP, INC.

CRD#: 44181

CEDAR RAPIDS, IA

Past

May 11, 1998 - June 26, 1998

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

November 25, 1987 - May 11, 1998

PRINCIPAL FINANCIAL SECURITIES,INC.

CRD#: 260

DALLAS, TX

Past

October 19, 1979 - December 15, 1987

E. F. HUTTON & COMPANY INC

CRD#: 235

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

Colorado
(4/9/2014)

IAR

Florida
(3/19/2014)

IAR

Iowa
(1/28/1999)

IAR

Louisiana
(3/12/2012)

IAR

Texas
(4/20/2006)

IAR

Virginia
(5/21/2021)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/3/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/15/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 5

Date: 11/11/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 8/18/1979

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/10/2004

General Securities Principal Examination

Current Firm

TABER ASSET MANAGEMENT L.L.C.

CRD#: 115849 / SEC#: 801-64307

RIA

Registered Investment Advisory firm - (6/21/2012 Terminated)

Colorado

Registered Investment Advisory firm - (4/8/2014 Approved)

Florida

Registered Investment Advisory firm - (3/19/2014 Approved)

Iowa

Registered Investment Advisory firm - (3/9/2012 Approved)

Louisiana

Registered Investment Advisory firm - (6/21/2012 Approved)

Texas

Registered Investment Advisory firm - (4/12/2012 Approved)

Virginia

Registered Investment Advisory firm - (5/21/2021 Approved)

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).

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Contact information

Main Address

Des Moines, IA

Mailing Address

Phone number

(515) 557-1860

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	100
AUM (Assets Under Management)	$ 86,632,942

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 E. Taber

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Emmett Taber's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONS FINANCIAL GROUP, INC.

NATIONS FINANCIAL GROUP, INC.

NATIONS FINANCIAL GROUP, INC.

NATIONS FINANCIAL GROUP, INC.

WELLS FARGO CLEARING SERVICES, LLC

PRINCIPAL FINANCIAL SECURITIES,INC.

E. F. HUTTON & COMPANY INC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/3/1995

Series 63

Date: 9/15/1979

Series 5

Date: 11/11/1981

Series 7

Date: 8/18/1979

Series 24

Date: 9/10/2004

Current Firm

TABER ASSET MANAGEMENT L.L.C.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

TABER ASSET MANAGEMENT L.L.C.

TRUST BUT VERIFY

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