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William Flores

Chief Compliance Officer at Dupont Capital Management

No current adviser or broker registrationSEC record checked 17 October 2026

0
Past adviser firms
4
Licensing exams

IAPD record retrieved 17 October 2026SEC record

William Flores is Chief Compliance Officer of Dupont Capital Management Corp, a Wilmington investment adviser managing $10.1B. William Flores has passed the Series 7, Series 63, Series 24 and SIE.

Role at Dupont Capital Management

Title on Schedule A
Chief Compliance Officer
Control
William Flores is a control person of Dupont Capital Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
William Flores has held the filed role since May 2019.

The firm

Dupont Capital Management Corp
Wilmington, DE

Form ADV filed 28 January 2026

$10.1B AUM3 clients16 advisers1 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Passed Series 63 and Series 24 · 2006
  3. Passed Series 7 · 2005

Registrations and exams

No current adviser or broker registration. William Flores has passed 4 qualifying exams.

Examinations

Series 6326 April 2006
Name
Uniform Securities Agent State Law Examination
Series 2418 September 2006
Name
General Securities Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 728 December 2005
Name
General Securities Representative Examination

Individual record

Full name
William Flores
CRD
4500780
Firm
Dupont Capital Management Corp
Registration status
No current adviser or broker registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does William Flores work?

William Flores has been Chief Compliance Officer of Dupont Capital Management Corp since May 2019, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 28 January 2026

Does William Flores have a current investment-adviser registration?

William Flores has no current investment-adviser or broker registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has William Flores passed?

William Flores has passed 4 licensing exams: the Series 7, Series 63, Series 24 and SIE. The earliest, the Series 7, was passed in December 2005.

Source: IAPD individual record, checked 17 October 2026

Leadership at Dupont Capital Management

Sources

  1. IAPD individual record, CRD 4500780. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Dupont Capital Management Corp, filed 28 January 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with William Flores or Dupont Capital Management Corp and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.