William ElliottCRD Number: 1895911
Current Firm: Cuna Brokerage Services, Inc.
William Elliott (CRD# 1895911) is an Investment Advisor Representative working at Cuna Brokerage Services, Inc. in Dayton, OH and has over 27 years of experience in the finance industry.
Sound Financial Investment Management, LLC
Raymond James & Associates, Inc.
Greenrock Advisory LLC
|Universal 1 Credit Union||Dayton, OH||May 2006 - Current||11|
|Cuna Brokerage Services, Inc.||Waverly, IA||Mar 2006 - Current||11|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||May 1990|
|S65||NASAA Investment Advisors Law Examination||Jul 1999|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management1,331MILLIONS
Total Number of Accounts6,286ACCOUNTS
Average Account Value$211,803
- A percentage of assets under your management
- Hourly charges
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV