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Detailed Report
WILLIAM E WARNOCK
CRD#: 4334008
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 4210 KELL BLVD
SUITE 200
WICHITA FALLS, TX 76309
CETERA ADVISOR NETWORKS LLCCRD#: 13572 4210 KELL BLVD
SUITE 200
WICHITA FALLS, TX 76309
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2001 - 2006 (4 years)2 FIRMS2006 - 2007 (1 year)2 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2021 (11 years)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2023 - Present (1 year)BCETERA ADVISOR NETWORKS LLC (CRD# 13572)2021 - Present (4 years)IACETERA ADVISOR NETWORKS LLC (CRD# 13572)2021 - 2023 (2 years)IASUMMIT FINANCIAL GROUP INC (CRD# 109485)2021 - 2021 (<1 year)
Disclosure(s)
View By:
2/4/2021
Employment Separation After Allegations
License(s)

State Registrations

B
Arizona 4/26/2021
B
Oklahoma 5/5/2021
B
California 3/17/2021
B
Texas 4/13/2021
B
Illinois 5/4/2021
IA
Texas 6/29/2023
B
Kansas 8/31/2023
B
Utah 4/13/2021
B
Louisiana 5/11/2021
B
Washington 4/27/2021
B
Michigan 6/7/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
4210 KELL BLVD SUITE 200, WICHITA FALLS, TX 76309
Registered with this firm since 6/29/2023
B
CETERA ADVISOR NETWORKS LLC (CRD#:13572)
4210 KELL BLVD SUITE 200, WICHITA FALLS, TX 76309
Registered with this firm since 3/16/2021
Previous Registration(s)
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IA
 04/13/2021 - 06/29/2023 CETERA ADVISOR NETWORKS LLC (CRD#:13572) WICHITA FALLS, TX
IA
 04/13/2021 - 05/20/2021 SUMMIT FINANCIAL GROUP INC (CRD#:109485) WICHITA FALLS, TX
IA
 06/01/2009 - 03/02/2021 MORGAN STANLEY (CRD#:149777) WICHITA FALLS, TX
B
 06/01/2009 - 03/02/2021 MORGAN STANLEY (CRD#:149777) WICHITA FALLS, TX
IA
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) WICHITA FALLS, TX
B
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) WICHITA FALLS, TX
IA
 03/24/2006 - 04/02/2007 MORGAN STANLEY (CRD#:7556) WICHITA FALLS, TX
B
 03/24/2006 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) WICHITA FALLS, TX
IA
 08/17/2001 - 03/30/2006 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) WICHITA FALLS, TX
B
 06/12/2001 - 03/30/2006 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WICHITA FALLS, TX
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.