William Gupton has been an investment adviser representative at Emerald Asset Management since March 2025, and is not listed among the firm’s executive officers or direct owners.
Emerald Asset Management, Inc. is a Rocky Mount, NC firm with $121M under management, 170 clients and 2 advisers in one office, as of its March 2026 filing.
William Gupton’s longest registration was 2 years at First Citizens Investor Services, Inc. (2022–2025). Before joining Emerald Asset Management in 2025, William Gupton was registered through First Citizens Investor Services, Inc.
- – present · 1 yearRocky Mount, NC · Adviser representative · Firm CRD 174691
- First Citizens Investor Services, Inc.– · 2 yearsRaleigh, NC · Adviser representative · Firm CRD 44430
Investment adviser representative registrations
William Gupton is registered as an investment adviser representative in North Carolina, since March 2025.
- North CarolinaSince 28 March 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 4 April 2022 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 29 October 2013 |
| Series 63 | Uniform Securities Agent State Law Examination | 8 August 2011 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 3 August 2010 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- William Tyler Gupton
- CRD
- 5812173
- Firm
- Emerald Asset Management · CRD 174691
- Office
- 2343 PROFESSIONAL DRIVE, SUITE B, Rocky Mount, NC 27804
- Registration
- Investment adviser registration
- In the industry since
- December 2010
- Disciplinary history
- Not yet shown here · SEC record
Where does William Gupton work?
William Gupton is an investment adviser representative registered through Emerald Asset Management, Inc. since March 2025, and is not listed among the firm’s executive officers or direct owners.
Is William Gupton a financial advisor?
Yes. William Gupton has a current investment-adviser registration in North Carolina, through Emerald Asset Management since March 2025.
How many years of experience does William Gupton have?
William Gupton has 15 years in the financial industry, since December 2010, across 2 adviser firms.
What exams has William Gupton passed?
William Gupton has passed 4 licensing exams: the Series 6, Series 63, Series 7 and Series 65. The earliest, the Series 6, was passed in August 2010. FINRA credited William Gupton with the SIE, which began in October 2018.
Where did William Gupton work before Emerald Asset Management?
Before Emerald Asset Management, William Gupton was registered through First Citizens Investor Services, Inc., April 2022 to March 2025.
Where is William Gupton based?
William Gupton’s registered office is in Rocky Mount, NC.
Is William Gupton registered with FINRA?
No. William Gupton has no current broker registration.
How can I verify William Gupton’s record?
Search CRD 5812173 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes William Gupton’s full registration record.
