William Emerson Stone

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2023-06-29

TX RA
APPROVED

Since 2023-06-29

Branch Locations

Bellaire, TX • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Cetera Wealth Services, Llc	El Segundo	CA	01/2013	Present
Cetera Investment Advisers Llc	Schaumburg	IL	06/2023	Present
Stone And Stone, Llc	Bellaire	TX	01/2021	Present

01/2013 → Present

Cetera Wealth Services, Llc

El Segundo, CA
06/2023 → Present

Cetera Investment Advisers Llc

Schaumburg, IL
01/2021 → Present

Stone And Stone, Llc

Bellaire, TX

Other Businesses

1) STONE AND STONE, LLC, NOT INVESTMENT RELATED, SAME AS RESIDENTIAL ADDRESS, LAW FIRM - LEGAL ADVICE & REPRESENTATION, START 01/2021, 20HRS/WK , 18 DURING TRADING HOURS, ATTORNEY/PARTNER, DUTIES: LEGAL ADVICE AND TRANSACTIONAL WORK AND PROBATE WORK IN VARIOUS COUNTIES IN TEXAS;

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2016-10-08
S63	Uniform Securities Agent State Law Examination	1987-12-04

S65 Uniform Investment Adviser Law Examination

2016-10-08
S63 Uniform Securities Agent State Law Examination

1987-12-04

View on SEC IAPD