William Peng has been an investment adviser representative at Capital Markets IQ since October 2020, and is not listed among the firm’s executive officers or direct owners.
Capital Markets Iq, LLC is a firm with $571M under management, 884 clients and 20 advisers across 19 offices, as of its July 2026 filing.
William Peng’s longest registration is the current one, 6 years at Capital Markets IQ since 2020. Before joining Capital Markets IQ in 2020, William Peng was registered through Sa Stone Investment Advisors Inc. and Quest Capital Strategies, Inc.
- Capital Markets Iq, LLCCurrent– present · 6 yearsSudbury, MA · Adviser representative · Firm CRD 134921
- Sa Stone Investment Advisors Inc.– · under a yearBirmingham, AL · Adviser representative · Firm CRD 174182
- Quest Capital Strategies, Inc.– · 1 yearSudbury, MA · Adviser representative · Firm CRD 16783
- Quest Capital Strategies, Inc.– · 1 yearSudbury, MA · Adviser representative · Firm CRD 16783
- Quest Capital Strategies, Inc.– · under a yearSudbury, MA · Adviser representative · Firm CRD 16783
- Morgan Stanley Smith Barney LLC– · under a yearBoston, MA · Adviser representative · Firm CRD 149777
Investment adviser representative registrations
William Peng is registered as an investment adviser representative in Massachusetts, since October 2020.
- MassachusettsSince 6 October 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 7TO | General Securities Representative Examination | 14 March 2022 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 29 August 2010 |
| Series 7 | General Securities Representative Examination | 9 July 2010 |
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- William W. Peng
- CRD
- 5790866
- Firm
- Capital Markets IQ · CRD 134921
- Office
- Sudbury, MA
- Registration
- Investment adviser registration
- In the industry since
- July 2012
- Disciplinary history
- Not yet shown here · SEC record
Where does William Peng work?
William Peng is an investment adviser representative registered through Capital Markets Iq, LLC since October 2020, and is not listed among the firm’s executive officers or direct owners.
Is William Peng a financial advisor?
Yes. William Peng has a current investment-adviser registration in Massachusetts, through Capital Markets IQ since October 2020.
How many years of experience does William Peng have?
William Peng has 14 years in the financial industry, since July 2012, across 4 adviser firms.
What exams has William Peng passed?
William Peng has passed 3 licensing exams: the Series 7, Series 66 and Series 7TO. The earliest, the Series 7, was passed in July 2010. FINRA credited William Peng with the SIE, which began in October 2018.
Where did William Peng work before Capital Markets IQ?
Before Capital Markets IQ, William Peng was registered through Sa Stone Investment Advisors Inc., December 2019 to August 2020; Quest Capital Strategies, Inc., March 2018 to December 2019; Quest Capital Strategies, Inc., March 2015 to April 2016; Quest Capital Strategies, Inc., February 2013 to December 2013; Morgan Stanley Smith Barney LLC, October 2010 to March 2011.
Where is William Peng based?
William Peng’s registered office is in Sudbury, MA.
Is William Peng registered with FINRA?
No. William Peng has no current broker registration.
How can I verify William Peng’s record?
Search CRD 5790866 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes William Peng’s full registration record.