William LeaCRD Number: 6251536
Current Firm: Swbc Investment Company
William Lea (CRD# 6251536) is an Investment Advisor Representative working at Swbc Investment Company in San Antonio, TX and has over 4 years of experience in the finance industry.
Intercontinental Wealth Advisors, LLC
Wealth Watch Advisors, LLC
Vannoy Advisory Group, Inc.
|Swbc Investment Company||San Antonio, TX||May 2016 - Current||2|
|Swbc Investment Services LLC||San Antonio, TX||May 2016 - Current||2|
|Metlife Securities||San Antonio, TX||Sep 2015 - Current||2|
|J.p. Morgan Securities LLC||San Antonio, TX||Aug 2014 - Sep 2015||1|
|Humana||San Antonio, TX||Jul 2014 - Aug 2014||< 1|
|Unemployed||San Antonio, TX||May 2014 - Jul 2014||< 1|
|Minnesota Life Ins Co||San Antonio, TX||Sep 2013 - May 2014||< 1|
|Securian Financial Services, Inc.||San Antonio, TX||Sep 2013 - May 2014||< 1|
|Planto Roe Financial Svcs Inc.||San Antonio, TX||Sep 2013 - May 2014||< 1|
|Mosaic Sales Solutions||San Antonio, TX||Sep 2013 - Jan 2014||< 1|
|Unemployed||San Antonio, TX||Jun 2013 - Sep 2013||< 1|
|Usaa||San Antonio, TX||Jan 2011 - May 2013||2|
|Aflac||San Antonio, TX||Apr 2010 - Apr 2011||1|
|West Corp||Universal City, TX||Sep 2009 - Apr 2010||< 1|
|Davis Independent School District||Farmington, UT||Feb 2008 - Sep 2009||1|
|Marketstar Corp||Ogden, UT||Feb 2007 - Feb 2008||1|
|Metropolitan State University||St Paul, MN||Aug 2004 - May 2007||2|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Mar 2014|
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:
- Financial Issue
Total Assets Under Management204MILLIONS
Total Number of Accounts255ACCOUNTS
Average Account Value$800,155
- 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
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AR, CA, FL, LA, MD, MN, NC, SC, TX
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