William S. Cavalier
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 St Cyr Cavalier, who also goes by Bill Cavalier, William St Cyr Cavalier III, 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 63, Series 66, Series 7, Series 5 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 2013 - September 2, 2014
RICHFIELD ORION INTERNATIONAL, INC.
May 6, 2013 - June 7, 2013
PENATES GROUP, INC.
May 25, 2012 - May 3, 2013
INDEPENDENT INVESTMENT BANKERS, CORP.
December 7, 2009 - June 14, 2010
CIM SECURITIES, LLC
August 19, 1988 - October 3, 1989
INTERFIRST CAPITAL CORPORATION
May 4, 1988 - July 13, 1988
PAULSON INVESTMENT COMPANY LLC
March 13, 1987 - April 5, 1988
COLUMBUS EQUITIES INTERNATIONAL, INC.
February 4, 1982 - January 16, 1984
LEHMAN BROTHERS 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
Series 5
Date: 11/9/1983
Interest Rate Options ExaminationCurrent Firm
RICHFIELD ORION INTERNATIONAL, INC.
CRD#: 24433 / SEC#: , 8-41166
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RICHFIELD ORION INTERNATIONAL, LLC | PARENT COMPANY | |
| STUART, JAMES BRETT | CEO,CFO,DIRECTOR, CCO | 3022149 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 1 |
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.
