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Detailed Report
WILLIAM EVANS SHAFROTH
WILLIAM SHAFROTH
CRD#: 6388027
IA
Investment Adviser
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Previous Broker
AVIOR WEALTH MANAGEMENT, LLCCRD#: 148674 14301 FIRST NATIONAL BANK PARKWAY
SUITE 410
OMAHA, NE 68154
Registration History
20142015201620172018201920202021202220232024202520262 FIRMS2014 - 2015 (<1 year)2 FIRMS2016 - 2018 (2 years)IAAVIOR WEALTH MANAGEMENT, LLC (CRD# 148674)2018 - Present (6 years)IAFIDELITY PERSONAL AND WORKPLAC... (CRD# 288590)2018 - 2018 (<1 year)
License(s)

State Registrations

IA
Nebraska 10/31/2018
Current Registration(s)
IA
AVIOR WEALTH MANAGEMENT, LLC (CRD#:148674)
14301 FIRST NATIONAL BANK PARKWAY SUITE 410, OMAHA, NE 68154
Registered with this firm since 10/31/2018
Previous Registration(s)
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 07/13/2018 - 09/24/2018 FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590) BOSTON, MA
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 07/14/2016 - 09/11/2018 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) OMAHA, NE
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 07/20/2016 - 07/13/2018 STRATEGIC ADVISERS LLC (CRD#:104555) OMAHA, NE
IA
 11/05/2014 - 05/08/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) DENVER, CO
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 10/10/2014 - 05/08/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) DENVER, CO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.