William O. Bare
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 Overton Bare JR, who also goes by Tony Bare, William Overton (jr) Bare, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1983. William had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 15, Series 3 and Series 7 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, 2021 - June 20, 2024
LPL FINANCIAL LLC
June 9, 2021 - June 20, 2024
LPL FINANCIAL LLC
October 26, 2011 - June 9, 2021
M&T SECURITIES, INC.
October 26, 2011 - June 9, 2021
M&T SECURITIES, INC.
October 6, 2010 - July 11, 2011
KGS-ALPHA CAPITAL MARKETS, L.P.
May 11, 2010 - September 13, 2010
WASHINGTON INCOME ADVISORS
March 20, 2009 - September 13, 2010
WASHINGTON SECURITIES CORPORATION
October 24, 2005 - April 16, 2009
CREDIT SUISSE SECURITIES (USA) LLC
October 15, 2004 - April 16, 2009
CREDIT SUISSE SECURITIES (USA) LLC
January 1, 1994 - October 22, 2004
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - October 22, 2004
CITIGROUP GLOBAL MARKETS INC.
September 11, 1987 - July 31, 1993
LEHMAN BROTHERS INC.
May 24, 1983 - September 11, 1987
THOMSON MCKINNON SECURITIES INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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 15
Date: 8/29/1985
Foreign Currency Options ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
