William Waits, financial advisor Memphis TN
73 score

William Waits

CRD 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.

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Company Name Location Dates Years
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
Disclosure Information

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
Get Details on the FINRA Advisor Check site
Contact Info for William S. Waits
Phone Number: 901-251-1330
Registered State(s):
  • TN
By the Numbers
  • Total Assets Under Management
    1,489
    MILLIONS
  • Total Number of Accounts
    4,309
    ACCOUNTS
  • Average Account Value
    $345,582
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

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

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BADGES
73

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