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WILLIAM ALBERT WILKES JR
B J ALBERT WILKES
CRD#: 2486272
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 4750 E. CHANDLER BLVD.
PHOENIZ, AZ 85226
CETERA INVESTMENT SERVICES LLCCRD#: 15340 4750 E CHANDLER BLVD
PHOENIX, AZ 85048
Registration History
19952000200520102015202020252 FIRMS2003 - 2006 (3 years)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2014 - Present (10 years)BCETERA INVESTMENT SERVICES LLC (CRD# 15340)2006 - Present (18 years)BAIG FINANCIAL ADVISORS, INC. (CRD# 133763)2006 - 2006 (<1 year)BWADDELL & REED, INC. (CRD# 866)2003 - 2003 (<1 year)BQUICK & REILLY, INC. (CRD# 11217)1998 - 2003 (4 years)BTRADESTAR INVESTMENTS,INC. (CRD# 14565)1997 - 1998 (<1 year)BSAVOY DISCOUNT BROKERAGE (CRD# 34700)1996 - 1997 (1 year)BSMITH BARNEY INC. (CRD# 7059)1995 - 1996 (<1 year)BU.S. BANCORP SECURITIES (CRD# 17439)1994 - 1995 (1 year)IACETERA INVESTMENT SERVICES LLC (CRD# 15340)2006 - 2014 (7 years)IARG CAPITAL INVESTMENT ADVISORY... (CRD# 135696)2006 - 2008 (2 years)IAQUICK & REILLY, INC. (CRD# 11217)2002 - 2003 (<1 year)
Disclosure(s)
View By:
4/13/2015
Customer Dispute
Denied
4/2/2008
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 11/30/2006

B
Oregon 11/30/2006

IA
Arizona 1/21/2014

B
Pennsylvania 5/26/2020

B
California 11/30/2006

B
Texas 3/30/2011

B
Colorado 9/11/2020

IA
Texas 10/22/2019

B
Connecticut 6/30/2022

B
Utah 10/19/2023

B
Nevada 11/30/2006

B
Washington 1/14/2013

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
4750 E. CHANDLER BLVD., PHOENIZ, AZ 85226
Registered with this firm since 1/21/2014

B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
4750 E CHANDLER BLVD, PHOENIX, AZ 85048
Registered with this firm since 11/30/2006

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
11/30/2006 - 01/21/2014 CETERA INVESTMENT SERVICES LLC (CRD#:15340) CHANDLER, AZ
IA
07/19/2006 - 08/15/2008 RG CAPITAL INVESTMENT ADVISORY SERVICES, LLC (CRD#:135696) SCOTTSDALE, AZ
B
06/23/2006 - 12/19/2006 AIG FINANCIAL ADVISORS, INC. (CRD#:133763) SCOTTSDALE, AZ
IA
09/15/2003 - 07/06/2006 H&R BLOCK FINANCIAL ADVISORS, INC. (CRD#:5979) SCOTTSDALE, AZ
B
06/11/2003 - 07/06/2006 H&R BLOCK FINANCIAL ADVISORS, INC. (CRD#:5979) SCOTTSDALE, AZ
B
04/28/2003 - 06/16/2003 WADDELL & REED, INC. (CRD#:866) OVERLAND PARK, KS
IA
11/29/2002 - 04/25/2003 QUICK & REILLY, INC. (CRD#:11217) PHOENIX, AZ
B
07/27/1998 - 04/25/2003 QUICK & REILLY, INC. (CRD#:11217) NEW YORK, NY
B
09/30/1997 - 07/02/1998 TRADESTAR INVESTMENTS,INC. (CRD#:14565) HOUSTON, TX
B
07/12/1996 - 10/20/1997 SAVOY DISCOUNT BROKERAGE (CRD#:34700) SEATTLE, WA
B
08/07/1995 - 07/11/1996 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
07/19/1994 - 07/17/1995 U.S. BANCORP SECURITIES (CRD#:17439) PORTLAND, OR
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B
Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.