William E. Snooks
Professional summary
William Earl Snooks JR was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William Earl Snooks JR was a registered financial advisor .
William is a previously registered financial advisor and started their career in finance in 1982. William had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 22 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
June 9, 2005 - July 13, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 30, 2004 - July 13, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 14, 1998 - May 12, 2004
AMERITAS INVESTMENT COMPANY, LLC
August 3, 1994 - December 14, 1998
BMA FINANCIAL SERVICES, INC.
August 23, 1989 - August 12, 1994
VOYA FINANCIAL ADVISORS, INC.
June 2, 1986 - December 17, 1988
USLIFE EQUITY SALES CORP.
July 1, 1982 - May 12, 1986
GREEN HILL FINANCIAL SERVICE CORPORATION
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
BANC OF AMERICA INVESTMENT SERVICES, INC.
CRD#: 16361 / SEC#: , 8-33805
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MERRILL LYNCH & CO., INC. | SHAREHOLDER | |
| BENSON, MARK JARRETT | PRESIDENT/CEO/DIRECTOR/CHAIRMAN | 1915552 |
| CALL, JOHN SCOTT | SVP/CHIEF COMPLIANCE OFFICER/DIRECTOR OF COMPLIANCE | 2815968 |
| NEWTH, RONALD JOSEPH | CHIEF OPERATING OFFICER/DIRECTOR | 1454390 |
| OSAKI, ISAAC | CHIEF LEGAL OFFICER | 4910551 |
| ROMANO, JOHN GARY | CFO/DIRECTOR | 5078610 |
Disclosures
| Regulatory Event | 53 |
| Civil Event | 1 |
| Arbitration | 68 |
Red Flags
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