William J. Vulpis
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 James Vulpis, who also goes by Bill Vulpis, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1982. William had worked at 8 firms and has passed the Series 66, Series 63, Series 7TO, Series 99TO, SIE, 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
January 2, 2018 - June 2, 2020
ICE BONDS SECURITIES CORPORATION
March 2, 2011 - June 27, 2011
KNIGHT TRANSITION MANAGEMENT LLC
January 20, 2011 - January 4, 2018
VIRTU AMERICAS LLC
March 15, 2010 - January 21, 2011
KNIGHT BONDPOINT, INC.
January 3, 2007 - October 8, 2009
TD AMERITRADE, INC.
January 3, 2007 - October 8, 2009
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
October 19, 2006 - October 8, 2009
TD AMERITRADE, INC.
October 22, 2004 - November 16, 2006
ALPS DISTRIBUTORS, INC.
January 21, 1982 - March 1, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH 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 7TO
Date: 3/3/2024
General Securities Representative ExaminationSeries 99TO
Date: 3/3/2024
Operations Professional ExaminationCurrent Firm
ICE BONDS SECURITIES CORPORATION
CRD#: 123635 / SEC#: , 8-65601
Contact information
FINRA licenses (5 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CREDITTRADE INC. | SHAREHOLDER | |
| BORSTELMANN, PETER L | PRESIDENT/DIRECTOR | 4825965 |
| EILEN, JEFFREY PHILIP | CHIEF COMPLIANCE OFFICER | 6149705 |
| FICARRA, THOMAS JOSEPH | DIRECTOR | 5502295 |
| LANSING, RYAN WILLIAM | DIRECTOR | 5408916 |
| MCKISSICK, JOHN JOSEPH | PRINCIPAL OPERATIONS OFFICER | 4939416 |
| THOMASSON, SEAN JOSEPH | FINANCIAL PRINCIPAL | 5124423 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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