William V. Vargas
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 Victor Vargas JR, who also goes by Bill Vargas Jr, William VIctor Jr Vargas, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1982. William had worked at 9 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 1999 - December 11, 2020
FISHER INVESTMENTS
February 26, 1996 - October 3, 1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
February 26, 1996 - October 3, 1996
SIGNATOR INVESTORS, INC.
February 25, 1994 - July 3, 1995
ADVEST, INC.
May 24, 1991 - February 28, 1994
CITIGROUP GLOBAL MARKETS INC.
November 20, 1989 - May 28, 1991
LEHMAN BROTHERS INC.
October 10, 1988 - November 16, 1989
FFCA SECURITIES CORPORATION
October 28, 1985 - November 12, 1986
PRUDENTIAL EQUITY GROUP, LLC
March 30, 1982 - December 17, 1985
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
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 8
Date: 7/1/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 360,116 |
| AUM (Assets Under Management) | $ 298,729,428,900 |
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.
