William S. Harrison
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 Sherman Harrison II, who also goes by Bill Harrison, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1979. William had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2014 - September 10, 2018
CETERA INVESTMENT ADVISERS LLC
August 16, 2011 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
August 16, 2011 - September 10, 2018
CETERA INVESTMENT SERVICES LLC
January 12, 1999 - December 31, 2011
HFA ASSET MANAGEMENT, INC.
September 12, 1996 - December 31, 2009
SECURITIES SERVICE NETWORK, LLC
January 27, 1992 - September 12, 1996
LINCOLN INVESTMENT
November 19, 1989 - January 31, 1992
OSAIC WEALTH, INC.
July 29, 1987 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
November 28, 1979 - August 3, 1987
CINCINNATI ANALYSTS, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
Series 1
Date: 11/19/1979
Registered Representative ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
