William Taki
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 Taki JR, who also goes by William Taki, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1982. William had worked at 12 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 3, Series 27 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 3, 2021 - April 3, 2023
ICAPITAL ADVISORS
May 3, 2021 - June 30, 2022
AVATAR CAPITAL GROUP LLC
March 18, 2019 - July 24, 2019
FEDERATED INTERNATIONAL SECURITIES CORP.
June 6, 2018 - July 24, 2019
FEDERATED INTERNATIONAL SECURITIES CORP.
July 3, 2017 - July 24, 2019
FEDERATED GLOBAL INVESTMENT MANAGEMENT CORP.
May 23, 2017 - July 24, 2019
MDT ADVISERS, A DIVISION OF FEDERATED MDTA LLC
May 19, 2017 - April 3, 2019
FEDERATED SECURITIES CORP.
May 19, 2017 - July 24, 2019
FEDERATED INVESTMENT COUNSELING
April 13, 2017 - April 3, 2019
FEDERATED SECURITIES CORP.
April 26, 2004 - April 20, 2017
PHOENIX GLOBAL CAPITAL MANAGEMENT, LTD
March 27, 2002 - April 28, 2004
TRIVE NEW YORK LLC
February 14, 2001 - December 31, 2001
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 1, 1998 - April 6, 2000
CANTOR FITZGERALD & CO.
December 3, 1982 - July 21, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
ICAPITAL ADVISORS
CRD#: 173502 / SEC#:
Contact information
Red Flags
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