William J. Marion
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 John Marion, who also goes by Bill Marion, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1996. William had worked at 6 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2018 - September 3, 2019
DOMINION INVESTOR SERVICES, INC.
September 8, 2015 - November 6, 2018
FORESTERS EQUITY SERVICES, INC.
September 3, 2015 - November 6, 2018
FORESTERS EQUITY SERVICES, INC.
December 3, 2012 - September 2, 2015
OSAIC SERVICES, INC.
October 31, 2012 - September 2, 2015
OSAIC SERVICES, INC.
December 1, 2009 - November 1, 2012
VOYA FINANCIAL ADVISORS, INC.
October 31, 2008 - December 4, 2009
OSAIC SERVICES, INC.
October 1, 2002 - October 31, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
August 9, 1996 - October 1, 2002
AMERICAN GENERAL EQUITY SERVICES 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
DOMINION INVESTOR SERVICES, INC.
CRD#: 21548 / SEC#: , 8-39029
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOMINION FINANCIAL SERVICES, INC. | PARENT/SHAREHOLDER | |
| CRISLER, SHIRLEY MAE | IP, SR VICE PRESIDENT, DIRECTOR, CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER | 2118069 |
| SHROPSHIRE, CAMERON EDWARD III | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, FINOP | 2233524 |
| SMITH, RIX CARLTON | PRESIDENT, CEO, DIRECTOR, GP, MP,OP | 1061442 |
Disclosures
| Regulatory Event | 1 |
| 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.
