William Chester Waller

Employer firm

M3F, Inc. CRD 151191

$778M regulatory AUM

Reported services (Item 5G)

• Portfolio management (pooled vehicles)

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

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

Current Employers

Employment History

• 07/2009 → Present
  M3F, Inc.
  Salt Lake City, UT
• 08/2007 → Present
  M3 Funds, Llc
  Salt Lake City, UT

Other Businesses

H BANCORP, LLC; BUSINESS: PRIVATE BANK HOLDING COMPANY; ADDRESS: 7151 COLUMBIA GATEWAY DRIVE, SUITE A, COLUMBIA MD, 21046; POSITION: MEMBER OF THE BOARD OF DIRECTORS; START DATE: JULY 2014; APPROXIMATE HOURS/MONTH: 4 HOURS; APPROXIMATE NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS/MONTH: 3 HOURS; DUTIES: INDEPENDENT MEMBER OF THE BOARD OF DIRECTORS

Exams

• S65 Uniform Investment Adviser Law Examination
  2014-11-30