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William Lawrence Faith III
Trey Faith, William Lawrence Faith, William Faith III
CRD#: 5963208
IA
B
U.S. BANCORP INVESTMENTS, INC.CRD#: 17868 30000 Town Center Dr
Laguna Niguel, CA 92677
Laguna Niguel, CA 92677
0
Disclosures
13
Years of Experience
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State Registrations
B
Arizona 2/20/2024
B
Nevada 2/20/2024
B
California 7/31/2023
B
Oregon 9/18/2023
IA
California 8/1/2023
B
Pennsylvania 3/4/2024
B
Colorado 4/8/2024
B
Tennessee 6/10/2024
B
Florida 2/20/2024
B
Washington 7/30/2024
B
Minnesota 2/20/2024
SRO Registrations
B
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IA
Registered with this firm since 8/1/2023
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Registered with this firm since 7/31/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/16/2018 - 08/16/2023 | ONTARIO, CA | |
B | 06/13/2018 - 08/16/2023 | ONTARIO, CA | |
IA | 09/17/2014 - 07/02/2018 | LAGUNA NIGUEL, CA | |
B | 06/22/2015 - 07/27/2015 | CHICAGO, IL | |
IA | 08/22/2013 - 09/16/2014 | MISSION VIEJO, CA | |
B | 08/22/2013 - 09/16/2014 | MISSION VIEJO, CA | |
IA | 10/17/2011 - 08/23/2013 | SAN DIEGO, CA | |
B | 09/19/2011 - 08/23/2013 | SAN DIEGO, CA |
SAN DIEGO, CA
10/17/2011 - 08/23/2013
SAN DIEGO, CA
09/19/2011 - 08/23/2013
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.