William A. Holmquist
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Albert Holmquist II, who also goes by William Albery Holmquist II, was a registered financial advisor .
William is a previously registered financial advisor and started their career in finance in 1981. William had worked at 11 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 2011 - October 16, 2013
WOODSTOCK FINANCIAL GROUP, INC.
November 2, 2005 - October 16, 2013
WOODSTOCK FINANCIAL GROUP, INC.
May 30, 2003 - November 4, 2005
VIEWTRADE FINANCIAL
October 11, 2002 - June 18, 2003
VIEWTRADE SECURITIES, INC.
April 18, 1997 - November 27, 2000
WOODSTOCK FINANCIAL GROUP, INC.
January 11, 1995 - April 7, 1997
RENAISSANCE FINANCIAL SECURITIES CORP.
October 9, 1989 - January 9, 1995
ROBERT TODD FINANCIAL CORP.
January 4, 1988 - February 14, 1989
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
October 10, 1986 - December 3, 1987
HAMILTON, GRANT & COMPANY, INC.
January 26, 1985 - September 18, 1986
NORBAY SECURITIES INC.
August 7, 1984 - December 21, 1984
CHESLEY AND DUNN, INC.
September 21, 1983 - June 7, 1984
FIRST INTERWEST SECURITIES CORPORATION
November 17, 1981 - March 12, 1984
BLINDER, ROBINSON & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WOODSTOCK FINANCIAL GROUP, INC.
CRD#: 38095 / SEC#: 801-65881, 8-48080
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WOODSTOCK HOLDINGS INC | HOLDING COMPANY | |
| BRANCA, ANTHONY DOUGLAS | CHIEF COMPLIANCE OFFICER OF BD | 1178639 |
| BRANCA, ANTHONY DOUGLAS | CHIEF OPERATING OFFICER | 1178639 |
| RAIKE, WILLIAM JASPER III | CHIEF COMPLIANCE OFFICER - RIA | 1502298 |
| RAIKE, WILLIAM JASPER III | PRESIDENT / CEO | 1502298 |
| RAIKE, WILLIAM JASPER III | ROSFP | 1502298 |
| WHITLEY, MELISSA LYNN | CHIEF FINANCIAL OFFICER / FINOP | 2615710 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
