William Pass (CRD# 1450414) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Santa Rosa, CA and has over 31 years of experience in the finance industry.
CRD# 5895687
Sherwood Investment Management
Score
103
CRD# 4731645
Jacobson & Breen Wealth Management, LLC
Score
101
CRD# 2692363
Albright Investment Management LLC
Score
100
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Bank Of America,na | Santa Rosa, CA | Sep 2009 - Current | 7 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Santa Rosa, CA | Feb 1988 - Current | 29 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Feb 1986 |
| S65 | NASAA Investment Advisors Law Examination | Sep 1993 |
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
- CA
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Total Assets Under Management575,342MILLIONS
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Total Number of Accounts1,715,259ACCOUNTS
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Average Account Value$335,425
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Commissions
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Other
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
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