William WaitsCRD Number: 864112
Current Firm: Wunderlich Securities, Inc.
William Waits (CRD# 864112) is an Investment Advisor Representative working at Wunderlich Securities, Inc. in Memphis, TN and has over 37 years of experience in the finance industry.
Delta Asset Management, LLC
Wells Fargo Advisors, LLC
Ameriprise Financial Services, Inc.
|Wunderlich Securities, Inc.||Memphis, TN||Oct 2000 - Current||16|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Aug 1979|
|S65||NASAA Investment Advisors Law Examination||Jul 2003|
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:
- Regulatory Event
Total Assets Under Management1,489MILLIONS
Total Number of Accounts4,309ACCOUNTS
Average Account Value$345,582
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
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, VI, VT, WA, WI, WV