William Mumpower is a CFP-designated registered investment advisor, based in Bluffton, SC, with 42 years of industry experience. William is also registered as a broker, so some compensation may come from commissions on products sold.
Location
Bluffton, SC
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
William is an advisory representative of a Registered Investment Advisor (RIA), dedicating full-time hours to this role. He is also an independent insurance agent since 1976, spending about 10-20% of his time on this activity, and is involved in several LLCs and consulting roles, each requiring minimal time commitment.
Employment History
Current Registrations
Cambridge Investment Research, INC.Broker
Cambridge Investment Research Advisors, INC.
Cambridge Investment Research, INC.
Previous Registrations
Park Avenue Securities LLC
Park Avenue Securities LLCBroker
Guardian Investor Services CorporationBroker
Transamerica Securities Sales CorporationBroker
Transamerica Financial Resources, INC.Broker
State Registrations9 states
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
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