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RIA / WealthAdvisorCertified Financial Planner10 years in industry

William Casen Guge

Advisor at CETERA PLANNING PARTNERS

GREENSBORO, NC | LEAWOOD, KS

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Search this name across graphsid dfx:ria:912e565d-77fb-32c4-61cd-674f5d2f12b5

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: Mar 1, 2017 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA PLANNING PARTNERS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 1, 2015earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Feb 28, 2017
First registration: Mar 1, 2017
Dual registered: no
Other names: WILLIAM CASEN GUGE|WILLIAM GUGE
IAPD individual key: 6735353

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA PLANNING PARTNERS	Independent wealth	Sep 22, 2025	n/a	yes	LEAWOOD, KS\|GREENSBORO, NC	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Sep 6, 2023	Aug 27, 2025	no	GREENSBORO, NC\|Greenville, SC\|Durham, NC	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Apr 25, 2022	Sep 5, 2023	no	Chapel Hill, NC\|Cary, NC	Previous registration
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Mar 31, 2020	Mar 28, 2022	no	DURHAM, NC	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Mar 1, 2017	Feb 29, 2020	no	Cary, NC	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Mar 1, 2017	Feb 29, 2020	no	CARY, NC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AMERIPRISE FINANCIAL SERVICES, LLC	CETERA PLANNING PARTNERS	Aug 27, 2025	Sep 22, 2025	26	Firm change	Ibd to RIA
CHARLES SCHWAB & CO., INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Sep 5, 2023	Sep 6, 2023	1	Firm change	Ibd to ibd
FIDELITY PERSONAL AND WORKPLACE ADVISORS	CHARLES SCHWAB & CO., INC.	Mar 28, 2022	Apr 25, 2022	28	Firm change	Ibd to ibd
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Feb 29, 2020	Mar 1, 2017	-1,095	Channel change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Feb 29, 2020	Mar 1, 2017	-1,095	Firm change after gap	Other

Relationships

Registered with (6)

→ CETERA PLANNING PARTNERSRegistered adviserregistration: current employment
Sep 22, 2025 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Sep 6, 2023 to Aug 27, 2025factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Apr 25, 2022 to Sep 5, 2023factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Mar 31, 2020 to Mar 28, 2022factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Mar 1, 2017 to Feb 29, 2020factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Mar 1, 2017 to Feb 29, 2020factForm ADV

Dated events

Occurred
Aug 27, 2025
Advisor changed firm
William Casen Guge left Ameriprise Financial Services, Llc for Cetera Planning Partners (registered 2025-09-22)
Form ADVobserved 5 days ago
Occurred
Sep 5, 2023
Advisor changed firm
William Casen Guge left Charles Schwab & Co., Inc. for Ameriprise Financial Services, Llc (registered 2023-09-06)
Form ADVobserved 5 days ago
Occurred
Mar 28, 2022
Advisor changed firm
William Casen Guge left Fidelity Personal And Workplace Advisors for Charles Schwab & Co., Inc. (registered 2022-04-25)
Form ADVobserved 5 days ago