WB
WB
William Breagy
33 Years of Experience
Florence, KY
10 DisclosuresBrokerSells Insurance
William Breagy is a registered investment advisor, based in Florence, KY, with 33 years of industry experience.
Location
7426 US Hwy 42, Suite 208, Florence, KY, 41042
Get directionsHistory
Regulatory History (10)
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.
Regulatory
March 2025Final
Customer Dispute
March 2003Closed-No Action
Customer Dispute
July 2002Settled
Employment Separation After Allegations
June 2002Customer Dispute
November 2001Settled
Customer Dispute
November 2001Settled
Customer Dispute
May 2001Settled
Customer Dispute
April 2001Settled
Customer Dispute
December 2000Settled
Regulatory
November 1999Final
Other Business ActivitiesSells Insurance
William is an independent insurance agent since 1992, dedicating a few hours per week to this activity. He is also an investment advisor representative with Creative Financial Designs, Inc., dedicating full-time hours. Finally, he is the Chapter President of AFEA, conducting classes at local universities, dedicating about 10-20% of his time.
Employment History
Current Registrations
Cfd Investments, INC.Broker
July 2002 - Present · 24 yrs
Creative Financial Designs, INC.
July 2002 - Present · 24 yrs
Previous Registrations
Securities America Advisors INC
April 2001 - July 2002 · 1 yr 3 mos
Securities America, INC.Broker
June 2000 - July 2002 · 2 yrs 1 mo
Metropolitan Life Insurance CompanyBroker
March 1999 - June 2000 · 1 yr 3 mos
Metlife Securities INC.Broker
March 1999 - June 2000 · 1 yr 3 mos
Royal Alliance Associates, INC.Broker
February 1998 - February 1999 · 1 yr
Mfi Investments CORP.Broker
September 1997 - February 1998 · 5 mos
Pruco Securities CorporationBroker
August 1992 - December 1997 · 5 yrs 4 mos
State Registrations12 states
AZCAFLINKYMIMOMTOHSCTXWA
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.