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William Wilkes
32 Years of Experience
Phoeniz, AZ
2 DisclosuresBroker
William Wilkes is a registered investment advisor at Cetera Investment Advisers LLC, based in Phoeniz, AZ, with 32 years of industry experience. William is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B
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Location
4750 E. Chandler Blvd., Phoeniz, AZ, 85226
Get directionsHistory
Regulatory History (2)
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
April 2015Denied
Customer Dispute
April 2008Settled
Other Business Activities
William can earn compensation from referrals through the True Champion Referral Program at Midfirst.
Employment History
Current Registrations
Cetera Investment Advisers LLC
January 2014 - Present · 12 yrs 9 mos
Cetera Investment Services LLCBroker
November 2006 - Present · 19 yrs 11 mos
Previous Registrations
Cetera Investment Services LLC
November 2006 - January 2014 · 7 yrs 2 mos
Rg Capital Investment Advisory Services, LLC
July 2006 - August 2008 · 2 yrs 1 mo
Aig Financial Advisors, INC.Broker
June 2006 - December 2006 · 6 mos
H&r Block Financial Advisors, INC.
September 2003 - July 2006 · 2 yrs 10 mos
H&r Block Financial Advisors, INC.Broker
June 2003 - July 2006 · 3 yrs 1 mo
Waddell & Reed, INC.Broker
April 2003 - June 2003 · 2 mos
Quick & Reilly, INC.
November 2002 - April 2003 · 5 mos
Quick & Reilly, INC.Broker
July 1998 - April 2003 · 4 yrs 9 mos
Tradestar Investments,inc.Broker
September 1997 - July 1998 · 10 mos
Savoy Discount BrokerageBroker
July 1996 - October 1997 · 1 yr 3 mos
Smith Barney INC.Broker
August 1995 - July 1996 · 11 mos
U.S. Bancorp SecuritiesBroker
July 1994 - July 1995 · 1 yr
State Registrations16 states
AZCACOCTFLIAKYMANCNVNYORPATXUTWA
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.
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