William A. Houlihan
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 Arthur Houlihan was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1981. William had worked at 4 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2004 - August 18, 2004
J.P. MORGAN SECURITIES INC.
January 1, 1997 - February 2, 2001
KEEFE, BRUYETTE & WOODS, INC.
March 5, 1992 - October 29, 1996
J.P. MORGAN SECURITIES LLC
December 24, 1981 - April 1, 1991
GOLDMAN SACHS & CO. LLC
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
J.P. MORGAN SECURITIES INC.
CRD#: 18718 / SEC#: , 8-36950
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN SECURITIES HOLDINGS LLC | DIRECTLY OWNS 100% OF J.P. MORGAN SECURITIES INC. | |
| BLACK, STEVEN DAVIS | CEO, CHAIRPERSON, DIRECTOR, MANAGING DIRECTOR | 801694 |
| BLESER, PHILIP FRANCIS | DIRECTOR | 4506044 |
| BRAUNSTEIN, DOUGLAS LEE | DIRECTOR AND MANAGING DIRECTOR | 1542814 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER AND SR. MANAGING DIRECTOR | 2725065 |
| ERDOES, MARY ELIZABETH | DIRECTOR | 2502095 |
| FITZGERALD, LISA JOAN | TREASURER AND MANAGING DIRECTOR | 1542376 |
| GENOVA, DIANE M | CHIEF LEGAL OFFICER AND MANAGING DIRECTOR | 5558897 |
| HERNANDEZ, CARLOS M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR | 2647255 |
| HORAN, ANTHONY JAMES | SECRETARY AND SR. VICE PRESIDENT | 1970798 |
| JOHNSON, GREGORY JUDE | CHIEF COMPLIANCE OFFICER, DIRECTOR OF COMPLIANCE, MANAGING DIRECTOR | 2611617 |
| SULLIVAN, MARGARET MARY | DIRECTOR, CHIEF OPERATIONS OFFICER, EXECUTIVE DIRECTOR | 1940830 |
Disclosures
| Regulatory Event | 103 |
| Civil Event | 3 |
| Arbitration | 2 |
Red Flags
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