William Lefler is a registered investment advisor, based in Charlotte, NC, with 28 years of industry experience.
Location
401 Mccullough Dr, Charlotte, NC, 28262
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Regulatory History
Clean regulatory record
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.
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William is an access/supervised person of Principal Global Investors, LLC, and performs certain functions for Principal Global Investors and its affiliates.
Employment History
Current Registrations
Principal Funds Distributor, INC.
January 2016 - Present · 10 yrs 6 mos
Principal Funds Distributor, INC.Broker
January 2016 - Present · 10 yrs 6 mos
Principal Asset Management
June 2006 - Present · 20 yrs 1 mo
Previous Registrations
Principal Securities, INC.Broker
August 2023 - November 2024 · 1 yr 3 mos
Principal Securities, INC.Broker
April 2019 - January 2021 · 1 yr 9 mos
Principal Securities, INC.Broker
April 2017 - November 2018 · 1 yr 7 mos
Princor Financial Services Corporation
January 2000 - June 2006 · 6 yrs 5 mos
Princor Financial Services CorporationBroker
May 1997 - April 2016 · 18 yrs 11 mos
State Registrations4 states
NCSCVAWV
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.