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William Warnock

Cetera Investment Advisers LLC
25 Years of Experience
Wichita Falls, TX
1 DisclosureBroker
View SEC Summary
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William Warnock is a registered investment advisor at Cetera Investment Advisers LLC, based in Wichita Falls, TX, with 25 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.

Cetera Investment Advisers LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B

Location

4210 Kell Blvd, Suite 200, Wichita Falls, TX, 76309

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History

Regulatory History (1)
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Employment Separation After Allegations
February 2021
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Other Business Activities

William is the owner of GIWA Holdings LLC, acting as a passive investor. He also works as a wealth advisor for Warnock Wealth Management, dedicating about a quarter of his time to advising clients.

Employment History
Current Registrations
Cetera Investment Advisers LLC
June 2023 - Present · 3 yrs 4 mos
Cetera Wealth Services, LLCBroker
March 2021 - Present · 5 yrs 7 mos
Previous Registrations
Cetera Advisor Networks LLC
April 2021 - June 2023 · 2 yrs 2 mos
Summit Financial Group INC
April 2021 - May 2021 · 1 mo
Morgan StanleyBroker
June 2009 - March 2021 · 11 yrs 9 mos
Morgan Stanley
June 2009 - March 2021 · 11 yrs 9 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
March 2006 - April 2007 · 1 yr 1 mo
Morgan Stanley Dw INC.Broker
March 2006 - April 2007 · 1 yr 1 mo
Merrill Lynch Pierce Fenner & Smith INC.
August 2001 - March 2006 · 4 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
June 2001 - March 2006 · 4 yrs 9 mos
State Registrations14 states
AZCACOILKSLAMIOHOKRITNTXUTWA
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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