William L. Gardner
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 Lockwood Gardner 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 SIE, Series 72 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 1996 - April 1, 2015
HARTFIELD, TITUS & DONNELLY, LLC
November 9, 1995 - November 11, 1996
FINANCIAL SQUARE PARTNERS
July 7, 1993 - June 29, 1995
TITUS & DONNELLY LLC
June 9, 1989 - June 22, 1993
CHAPDELAINE TULLETT PREBON, LLC
March 27, 1989 - April 18, 1989
R.W. SMITH & ASSOCIATES, LLC
November 30, 1987 - April 24, 1989
HARRY DOWNS & COMPANY, INC.
June 11, 1985 - October 5, 1987
TP ICAP GLOBAL MARKETS AMERICAS LLC
October 5, 1982 - May 15, 1985
VIERLING, DEVANEY & MAGUIRE, 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 72
Date: 7/12/2010
Government Securities Representative ExaminationCurrent Firm
HARTFIELD, TITUS & DONNELLY, LLC
CRD#: 7117 / SEC#: , 8-18974
Contact information
FINRA licenses (6 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PURPORA CONSULTING,INC. | DIRECT OWNER | |
| CALDAS, JOSEPH JAMES | DIRECT OWNER | 501739 |
| CARRINGTON, MICHAEL SUGHRUE | DIRECT OWNER | 2716358 |
| EMANUEL, PAUL JOSEPH | DIRECT OWNER | 2330590 |
| INFUSINO, RICHARD ANGELO JR | DIRECT OWNER | 5668679 |
| MUSTACCHIO, LOUIS JOSEPH JR | DIRECT OWNER | 1656435 |
| O'MALLEY, DEREK JOHN | DIRECT OWNER | 4369620 |
| PAULEY, MATTHEW CHRISTOPHER | DIRECT OWNER | 2280671 |
| FERRERI, CHRISTOPHER CHARLES | DIRECT OWNER | 1677406 |
| GEORGE, MICHAEL THEODORE | FINOP & TREASURER | |
| HOFFMAN, EDWARD KELLY | DIRECT OWNER | 2295024 |
| JOHNSON, MARYBETH | DIRECT OWNER | 2123615 |
| MCCUE, JAMES GERARD | DIRECT OWNER | 2037468 |
| MULVIHILL, CAROLYN CROWE | DIRECT OWNER | 1968504 |
| NOTINE, TODD ROBERT | DIRECT OWNER | 1595766 |
| PALLARINO, JOHN GUY | DIRECT OWNER | 2282884 |
| SMITH, EDWARD JOHN | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, SECRETARY AND DIRECT OWNER | 4161601 |
| VANDERBEEK, TAYLOR JAMES | DIRECT OWNER | 6339397 |
| VINJE, NATALIE GRIFFIN | DIRECT OWNER | 3135251 |
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
