William Newbury, financial advisor Surprise AZ
58 score

William Newbury

CRD Number: 1890435
Current Firm: First Financial Equity Corporation

William Newbury (CRD# 1890435) is an Investment Advisor Representative working at First Financial Equity Corporation in Surprise, AZ and has over 28 years of experience in the finance industry.

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Company Name Location Dates Years
First Financial Equity Corporation Surprise, AZ May 2012 - Current 4
Waddell & Reed, Inc. Peoria, AZ Jan 2010 - May 2012 2
Various Insurance Carriers For W&r Insurance Agencies Peoria, AZ Jan 2010 - May 2012 2
Rbc Capital Markets Corporation Sun City, AZ Mar 2008 - Jan 2010 1
Reliv International Chesterfield, MO Mar 2008 - Jan 2010 1
Rbc Dain Rauscher Inc. Peoria, AZ Nov 1998 - Mar 2008 9
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 1988
S66 NASAA Uniform Combined State Law Examination May 2007
Disclosure Information

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:
  • Employer Dispute
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for William G. Newbury
Phone Number: 480-951-0079
Firm Website: http://www.ffec.com
Registered State(s):
  • AZ
  • ID
  • PA
  • TX
  • CA
By the Numbers
  • Total Assets Under Management
    2,865
    MILLIONS
  • Total Number of Accounts
    6,068
    ACCOUNTS
  • Average Account Value
    $472,074
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • 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
  • Educational seminars/workshops
Types of Clients
Registered States

AL, AR, AZ, CA, CO, CT, DE, FL, GA, IA, ID, IL, IN, KS, MA, MD, MI, MN, MO, MT, NC, ND, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, WA, WI

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BADGES
58

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