William WadsworthCRD Number: 1987068
Current Firm: Pts Asset Management
William Wadsworth (CRD# 1987068) is an Investment Advisor Representative working at Pts Asset Management in North Haven, CT and has over 25 years of experience in the finance industry.
Springboard Asset Management LLC
Sagepoint Financial, Inc.
Halsey Associates Inc.
|Pts Asset Management||North Haven, CT||Mar 2015 - Current||2|
|Wadsworth Investment Company, Inc.||North Haven, CT||Mar 2015 - Current||2|
|Wadsworth Investment Company, Inc.||Wallingford, CT||Apr 2012 - Current||5|
|Pts Asset Management||North Haven, CT||Sep 2011 - Current||5|
|Wadsworth Investment Company, Inc.||Wallingford, CT||Oct 1996 - Current||20|
|Pts Asset Management||Wallingford, CT||Dec 2009 - Sep 2011||1|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 1992|
|S65||NASAA Investment Advisors Law Examination||Dec 2009|
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 Management240MILLIONS
Total Number of Accounts1,301ACCOUNTS
Average Account Value$184,845
- A percentage of assets under your management
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
AZ, CA, CO, CT, FL, GA, IA, IL, IN, KY, LA, MA, MD, ME, MI, MN, MO, NC, NE, NH, NJ, NY, OH, OR, PA, SC, TN, TX, UT, VA, WA, WI, WV
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