William John Focia

Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2013 → 11/2016
  Wells Fargo Advisors, Llc
  Birmingham, AL
• 11/2016 → 01/2017
  Wells Fargo Clearing Services, Llc
  Birmingham, AL
• 02/2017 → 05/2024
  Lpl Financial, Llc
  Birmingham, AL
• 01/2017 → 05/2024
  Merit Financial Group Llc (Merit Financial Advisors)
  Birmingham, AL
• 05/2024 → Present
  Raymond James & Associates, Inc.
  Birmingham, AL

Previous Registrations

• 2017-02-07 → 2024-06-19
  Merit Financial Advisors
  Birmingham, AL
  Alpharetta, GA
• 2014-01-03 → 2017-02-01
  Wells Fargo Clearing Services, Llc
  Tuscaloosa, AL
  Tuscaloosa, AL
  Northport, AL
  Tuscaloosa, AL
  Tuscaloosa, AL
  Tuscaloosa, AL
  Tuscaloosa, AL
  Birmingham, AL
• 2012-10-18 → 2014-01-02
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Alpharetta, GA
• 2009-07-02 → 2011-05-10
  Osaic Fa, Inc.
  Virginia Beach, VA
• 2009-03-04 → 2009-06-30
  Harrisdirect Llc
  Arlington, VA

Exams

• S66 Uniform Combined State Law Examination
  2009-03-03
• S63 Uniform Securities Agent State Law Examination
  2004-09-03

Other Names

• Billy Focia