William A. Lord
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 Aborn Lord, who also goes by Bill Lord, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1981. William had worked at 8 firms and has passed the Series 65, Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2018 - September 12, 2019
TONGE INVESTMENTS
April 29, 2001 - June 13, 2002
J.P. MORGAN SECURITIES INC.
February 5, 2001 - May 1, 2001
JPMSI
February 1, 2000 - February 5, 2001
J.P. MORGAN SECURITIES INC.
June 26, 1998 - February 1, 2000
HAMBRECHT & QUIST LLC
June 21, 1996 - April 13, 1998
FINANCIAL SQUARE PARTNERS
October 29, 1993 - April 22, 1996
UBS SECURITIES LLC
July 1, 1985 - July 23, 1993
LEHMAN BROTHERS INC.
November 27, 1981 - September 28, 1984
BECKER PARIBAS INCORPORATED
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
Series 55
Date: 7/23/2001
Limited Representative-Equity Trader ExamCurrent Firm
TONGE INVESTMENTS
CRD#: 119651 / SEC#: 801-61147
Contact information
Regulatory assets under management
| Total Number of Accounts | 231 |
| AUM (Assets Under Management) | $ 45,815,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/30/2025 | ||
| 02/01/2024 | ||
| 01/16/2023 |
Red Flags
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