William P. Dioguardi
Professional summary
William Paul Dioguardi, who also goes by William Paul Dioguardi Jr, is a registered financial professional currently at THIRD SEVEN CAPITAL LLC located in Wall, New Jersey.
William is registered as a RR (Registered Representative) and started their career in finance in 1981. William has worked at 12 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 10, Series 9, Series 14, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Paul Dioguardi's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 3, 2017 - Present
THIRD SEVEN CAPITAL LLC
Office #1: 3349a State Route 138 Allaire Corporate Center Building A, Suite A, Seco, Wall, NJ 07719Office #2: 67 Holly Hill Lane Suite 300c, Greenwich, CT 06830June 3, 2013 - December 31, 2016
EDI FINANCIAL, INC.
February 22, 2011 - May 29, 2013
ALLIED BEACON PARTNERS, INC.
November 5, 2009 - February 22, 2011
AMERICAN BEACON PARTNERS, INC.
January 13, 2009 - October 19, 2009
BRITEHORN SECURITIES
May 25, 2006 - December 10, 2008
THE CONCORD EQUITY GROUP, LLC
October 5, 1994 - May 5, 2008
AUGMENT SECURITIES INC.
April 5, 1993 - October 10, 1994
JOSEPHTHAL & CO., INC.
October 30, 1992 - March 15, 1993
MARTIN SIMPSON & COMPANY, INC.
November 19, 1989 - June 22, 1990
OSAIC WEALTH, INC.
August 12, 1988 - March 3, 1993
REICH & CO., INC.
November 4, 1981 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/7/2017)
(2/6/2017)
(2/8/2017)
(2/15/2017)
(1/3/2017)
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(1/19/2017)
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(1/19/2017)
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(1/19/2017)
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(1/23/2017)
(1/23/2017)
(3/9/2017)
(1/19/2017)
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(2/2/2017)
(2/9/2017)
(1/20/2017)
(2/9/2017)
(1/27/2017)
(5/2/2017)
(1/19/2017)
(3/28/2017)
(1/3/2017)
(3/2/2017)
(1/3/2017)
(1/19/2017)
(3/10/2017)
(1/30/2017)
(1/19/2017)
(2/28/2017)
(1/19/2017)
(2/28/2017)
(2/2/2017)
(2/7/2017)
(1/19/2017)
(7/13/2023)
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(1/23/2017)
(2/6/2017)
(2/23/2017)
(1/19/2017)
(1/24/2017)
(2/9/2017)
(2/6/2017)
(2/6/2017)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 8
Date: 9/22/1993
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
THIRD SEVEN CAPITAL LLC
CRD#: 160209 / SEC#: , 8-69032
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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Company Information
THIRD SEVEN CAPITAL LLC
CRD#: 160209Wall, NJ 07719TRUST BUT VERIFY
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