William Fowler has been an investment adviser representative at Garton and Associates Financial Advisors since November 2020, and is not listed among the firm’s executive officers or direct owners. William Fowler studied at Centre College.
Garton and Associates Financial Advisors LLC is a Louisville, KY firm with $215M under management, 369 clients and 5 advisers across 2 offices, as of its August 2026 filing.
Billy Fowler is an investment adviser representative of Advantage Investment Management, based in Louisville, Kentucky. He began in the industry at Morgan Stanley Dean Witter in the late 90's and started his own business in 2003. Along with financial services, he started The Benefits Firm. He formerly served as president of the Saint Matthews Chamber of Commerce.
William Fowler’s longest registration was 12 years at Commonwealth Financial Advisors, LLC (2008–2020). Before joining Garton and Associates Financial Advisors in 2020, William Fowler was registered through Commonwealth Financial Advisors, LLC and Intersecurities, Inc.
- – present · 5 yearsLouisville, KY · Adviser representative · Firm CRD 146493
- Commonwealth Financial Advisors, LLC– · 12 yearsLouisville, KY · Adviser representative · Firm CRD 146396
- Intersecurities, Inc.– · 3 yearsLouisville, KY · Adviser representative · Firm CRD 16164
Investment adviser representative registrations
William Fowler is registered as an investment adviser representative in Kentucky, since November 2020.
- KentuckySince 20 November 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 31 | Futures Managed Funds Examination | 18 September 1998 |
| Series 65 | Uniform Investment Adviser Law Examination | 14 September 1998 |
| Series 63 | Uniform Securities Agent State Law Examination | 2 September 1998 |
| Series 7 | General Securities Representative Examination | 27 August 1998 |
- Name
- Securities Industry Essentials Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- William Thomas Fowler
- CRD
- 3087793
- Firm
- Garton and Associates Financial Advisors · CRD 146493
- Office
- 136 BRECKENRIDGE LANE, SUITE 101, Louisville, KY 40207
- Registration
- Investment adviser registration
- In the industry since
- September 1998
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- aim-rps.com
Where does William Fowler work?
William Fowler is an investment adviser representative registered through Garton and Associates Financial Advisors LLC since November 2020, and is not listed among the firm’s executive officers or direct owners.
Is William Fowler a financial advisor?
Yes. William Fowler has a current investment-adviser registration in Kentucky, through Garton and Associates Financial Advisors since November 2020.
How many years of experience does William Fowler have?
William Fowler has 28 years in the financial industry, since September 1998, across 3 adviser firms.
What exams has William Fowler passed?
William Fowler has passed 4 licensing exams: the Series 7, Series 63, Series 65 and Series 31. The earliest, the Series 7, was passed in August 1998. FINRA credited William Fowler with the SIE, which began in October 2018.
Where did William Fowler work before Garton and Associates Financial Advisors?
Before Garton and Associates Financial Advisors, William Fowler was registered through Commonwealth Financial Advisors, LLC, January 2008 to October 2020; Intersecurities, Inc., September 2004 to November 2007.
Where is William Fowler based?
William Fowler’s registered office is in Louisville, KY.
Is William Fowler registered with FINRA?
No. William Fowler has no current broker registration.
How can I verify William Fowler’s record?
Search CRD 3087793 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes William Fowler’s full registration record.
