William Schumann is a CFP-designated registered investment advisor, based in Cape Coral, FL, with 39 years of industry experience.
Location
Cape Coral, FL
Get directionsHistory
Regulatory History (5)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
January 2024Settled
Customer Dispute
December 2022Denied
Customer Dispute
February 2019Settled
Customer Dispute
December 2016Settled
Customer Dispute
May 2016Denied
Other Business Activities
William owns Schumann Financial, a DBA marketing name for his securities and advisory business, dedicating full-time hours to it. He also owns Swisher & Schumann, providing income tax services, dedicating full-time hours to it as well.
Employment History
Current Registrations
Cetera Financial Specialists LLCBroker
December 2023 - Present · 2 yrs 5 mos
Cetera Investment Advisers LLC
December 2023 - Present · 2 yrs 5 mos
Previous Registrations
Grove Point Advisors, LLC
April 2021 - December 2023 · 2 yrs 8 mos
H. Beck, INC.
January 2015 - April 2021 · 6 yrs 3 mos
Grove Point Investments, LLCBroker
September 2009 - December 2023 · 14 yrs 3 mos
Waterstone Financial Group, INC.Broker
October 2002 - September 2009 · 6 yrs 11 mos
Dreher & Associates, INC.Broker
January 1989 - October 2002 · 13 yrs 9 mos
Fsc Securities CorporationBroker
May 1987 - January 1989 · 1 yr 8 mos
Gary-Wheaton Stock Brokerage, INC.Broker
January 1987 - August 1987 · 7 mos
State Registrations36 states
ALARAZCACOCTDCFLGAIAIDILINKSKYMEMIMNNCNDNENHNJNMNVOHOKORPASCTNTXUTVAWAWI
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.