William Pass (CRD# 1450414) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Santa Rosa, CA and has over 32 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 | 8 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Santa Rosa, CA | Feb 1988 - Current | 30 |
| 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
-
Total Assets Under Management639,574MILLIONS
-
Total Number of Accounts1,831,494ACCOUNTS
-
Average Account Value$349,209
- A percentage of assets under your management
- 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, WY
About Wealthminder
Wealthminder was created for one simple reason: To help people get the financial assistance they need to achieve their long-term financial goals.
Wealthminder is a database of every Investment Advisor Representative in the country. We work hard to collect and provide you the information you need to find a financial advisor who’s right for you.
If you are looking for a specific financial advisor and you can’t find them on Wealthminder, it’s likely that they are either exclusively a broker or are unlicensed - please contact us and we’ll try to help!
Finding a Financial Advisor through Wealthminder
Historically finding and hiring a financial advisor was hard. Wealthminder was built to make the process much easier.
The best way to use Wealthminder is to take advantage of our free proposal system. All you have to do is take a few minutes of your time to describe your situation and the assistance you are looking for.
Wealthminder then sends your request to our network of prescreened financial advisors. If a financial advisor is interested in your business, they will submit a proposal to you.
You review the proposals you receive and decide if you’d like to have a follow-up call with one or more of the financial advisors.
Throughout the process, you maintain control. We only share your contact information with a financial advisor once you ask for an introduction.