William James Carmody

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:

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

Current Employers

Employment History

• 05/2013 → Present
  Honesdale National Bank
  Honesdale, PA
• 05/2013 → Present
  Cetera Investment Services Llc
  St.CLoud, MN
• 01/2014 → Present
  Cetera Investment Advisers Llc
  Honesdale, PA

Previous Registrations

• 2013-04-01 → 2013-06-04
  Osaic Services, Inc.
  Honesdale, PA

Other Businesses

1.)TRUSTEE OF IRREVOCABLE LIFE INSURANCE TRUST FOR JOHN AND CONSTANCE CARMODY (BROTHER & SISTER IN LAW). MONITOR PREMIUM PAYMENTS AND REVIEW ANNUAL STATEMENTS. 1 HOUR ANNUALLY, COMMISSION FROM LIFE POLICY. 3.) REFERRALS TO TRUST DEPARTMENT OF BANK

Exams

• S65 Uniform Investment Adviser Law Examination
  2013-03-19
• S63 Uniform Securities Agent State Law Examination
  1998-12-30

Other Names

• William James Carmody