Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
William Lee Bartels III
WILLIAM LEE BARTELS
CRD#: 5262495
IA
Investment Adviser
B
Broker
FIRST COMMAND ADVISORY SERVICESCRD#: 281958 5920 E Pima Street
Suite 170
TUCSON, AZ 85712
FIRST COMMAND BROKERAGE SERVICES, INC.CRD#: 3641 5920 E Pima Street
Suite 170
TUCSON, AZ 85712
Registration History
2008201020122014201620182020202220242026IAFIRST COMMAND ADVISORY SERVICES (CRD# 281958)2015 - Present (9 years)BFIRST COMMAND BROKERAGE SERVIC... (CRD# 3641)2007 - Present (18 years)IAFIRST COMMAND FINANCIAL PLANNI... (CRD# 3641)2008 - 2015 (7 years)
License(s)

State Registrations

B
Arizona 1/6/2023
B
Ohio 9/13/2024
IA
Arizona 7/25/2024
B
Oregon 1/5/2022
B
California 8/15/2022
B
Texas 10/15/2015
B
Colorado 4/26/2007
IA
Texas 12/15/2015
B
Florida 7/8/2011
B
Virginia 9/11/2015
B
Kansas 1/18/2019
B
Washington 9/13/2024
B
Montana 3/26/2015
B
Wyoming 7/31/2014
B
Nebraska 7/28/2021

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
FIRST COMMAND ADVISORY SERVICES (CRD#:281958)
5920 E Pima Street Suite 170, TUCSON, AZ 85712
Tucson, AZ
Registered with this firm since 12/15/2015
B
FIRST COMMAND BROKERAGE SERVICES, INC. (CRD#:3641)
5920 E Pima Street Suite 170, TUCSON, AZ 85712
Tucson, AZ
Registered with this firm since 2/26/2007
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/04/2008 - 12/15/2015 FIRST COMMAND FINANCIAL PLANNING, INC. (CRD#:3641) COLORADO SPRINGS, CO
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.