William PruettCRD Number: 6058853
Current Firm: Charles Schwab & Company, Inc.
William Pruett (CRD# 6058853) is an Investment Advisor Representative working at Charles Schwab & Company, Inc. in Phoenix, AZ and has over 4 years of experience in the finance industry.
Newman's Financial Planning
Woodbury Financial Services, Inc.
Triad Advisors, Inc.
|Pruett Homes LLC||Palisade, CO||Dec 2014 - Current||1|
|Charles Schwab & Company, Inc.||Phoenix, AZ||Aug 2014 - Current||2|
|Axa Advisors LLC||New York, NY||Mar 2012 - Jul 2014||2|
|Pruett Homes LLC||Grand Junction, CO||Aug 2003 - Mar 2012||8|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Aug 2012|
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 Management0MILLIONS
Total Number of Accounts0ACCOUNTS
Average Account Value$0
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Selection of other advisers (including private fund managers)
AK, AL, AR, 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, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV