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Inactive

William Tyler Gupton

Emerald Asset Management, Inc.

Rocky Mount, NC

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Current Employers
Emerald Asset Management, Inc.

2343 Professional Drive Suite B, Rocky Mount, NC 27804 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2025-03-28
  • NC RA
    APPROVED
    Since 2025-03-28

Branch Locations

2343 Professional Drive Suite B, Rocky Mount, NC 27804 • 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
OrganizationCityStateFromTo
Capfinancial Securities, Llc. Raleigh NC 04/2016 11/2018
Captrust Raleigh NC 04/2016 11/2018
Guggenheim Funds Distributors, Llc Chicago IL 11/2018 07/2021
First Citizens Bank Charlotte NC 07/2021 06/2023
First Citizens Investor Services Raleigh NC 07/2021 06/2023
First Citizens Investor Services Raleigh NC 06/2023 03/2025
First Citizens Bank Charlotte NC 06/2023 03/2025
Emerald Asset Management Rocky Mount NC 03/2025 Present
  • 04/2016 → 11/2018
    Capfinancial Securities, Llc.
    Raleigh, NC
  • 04/2016 → 11/2018
    Captrust
    Raleigh, NC
  • 11/2018 → 07/2021
    Guggenheim Funds Distributors, Llc
    Chicago, IL
  • 07/2021 → 06/2023
    First Citizens Bank
    Charlotte, NC
  • 07/2021 → 06/2023
    First Citizens Investor Services
    Raleigh, NC
  • 06/2023 → 03/2025
    First Citizens Investor Services
    Raleigh, NC
  • 06/2023 → 03/2025
    First Citizens Bank
    Charlotte, NC
  • 03/2025 → Present
    Emerald Asset Management
    Rocky Mount, NC
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-04-04
S63 Uniform Securities Agent State Law Examination 2011-08-08
  • S65 Uniform Investment Adviser Law Examination
    2022-04-04
  • S63 Uniform Securities Agent State Law Examination
    2011-08-08

View on SEC IAPD

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Cathy Goff Porter
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Other Offices

EDWARD JONES · Rocky Mount, NC
PROSPERITY CAPITAL ADVISORS · Rocky Mount, NC
EDWARD JONES · ROCKY MOUNT, NC
EDWARD JONES · ROCKY MOUNT, NC
AMERIPRISE FINANCIAL SERVICES, LLC · Rocky Mount, NC
STATE FARM INVESTMENT MANAGEMENT CORP. · Rocky Mount, NC
WHITENER CAPITAL MANAGEMENT, INC · ROCKY MOUNT, NC
EQUITABLE ADVISORS, LLC · ROCKY MOUNT, NC

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