WY
WY
William Yawn
36 Years of Experience
Franklin, TN
3 DisclosuresBrokerSells Insurance
William Yawn is a registered investment advisor at Cetera Investment Advisers LLC, based in Franklin, TN, with 36 years of industry experience. William operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
Franklin, TN
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Regulatory History (3)
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Customer Dispute
December 2014Dismissed
Employment Separation After Allegations
May 2014Customer Dispute
June 2003Settled
Other Business ActivitiesSells Insurance
William works as an insurance agent selling life insurance and annuities since 2018. This activity requires minimal time.
Employment History
Current Registrations
Cetera Investment Advisers LLC
June 2023 - Present · 2 yrs 11 mos
Cetera Wealth Services, LLCBroker
September 2019 - Present · 6 yrs 8 mos
Previous Registrations
Cetera Advisor Networks LLC
May 2021 - June 2023 · 2 yrs 1 mo
Summit Financial Group INC
May 2014 - May 2021 · 7 yrs
Summit Brokerage Services, INC.Broker
May 2014 - September 2019 · 5 yrs 4 mos
Stratos Wealth Partners, LTD
August 2012 - May 2014 · 1 yr 9 mos
LPL Financial LLC
June 2008 - June 2013 · 5 yrs
LPL Financial LLCBroker
June 2008 - May 2014 · 5 yrs 11 mos
UBS Financial Services INC.
May 2006 - June 2008 · 2 yrs 1 mo
UBS Financial Services INC.Broker
May 2006 - June 2008 · 2 yrs 1 mo
Morgan Keegan & Company, INC.
January 2004 - May 2006 · 2 yrs 4 mos
Morgan Keegan & Company, INC.Broker
July 2000 - May 2006 · 5 yrs 10 mos
First Union Brokerage Services, INC.Broker
November 1994 - May 1999 · 4 yrs 6 mos
Dean Witter Reynolds INC.Broker
March 1988 - June 1990 · 2 yrs 3 mos
Painewebber IncorporatedBroker
October 1985 - March 1988 · 2 yrs 5 mos
Dean Witter Reynolds INC.Broker
September 1983 - September 1985 · 2 yrs
State Registrations4 states
FLINNCTN
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.