William F. Beres
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 Frederick Beres was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1983. William had worked at 8 firms and has passed the Series 63, Series 7 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
July 13, 2004 - May 2, 2012
REUTERS TRANSACTION SERVICES LLC
August 9, 2000 - November 24, 2003
BLOOMBERG TRADEBOOK LLC
July 16, 1997 - September 8, 1999
AUBREY G. LANSTON & CO., INC.
September 13, 1994 - July 8, 1997
NEW JAPAN SECURITIES INTERNATIONAL INC.
June 7, 1993 - September 22, 1994
J.P. MORGAN SECURITIES LLC
May 14, 1988 - May 28, 1988
LEHMAN BROTHERS INC.
April 27, 1988 - June 9, 1993
UBS SECURITIES LLC
April 19, 1983 - May 14, 1988
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
REUTERS TRANSACTION SERVICES LLC
CRD#: 13245 / SEC#: , 8-28915
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THOMSON REUTERS (MARKETS) LLC | OWNER | |
| BULKA, SHMUEL RAFAEL | SECRETARY | 6315632 |
| CARLEY, WILLIAM BRENNAN | DIRECTOR | 6261529 |
| CHIN, MICHAEL KENNETH | DIRECTOR | 4426103 |
| GRIMM, LINDA STEINMANN | FINOP | 1970620 |
| SWEENEY, JESSICA E | CHIEF COMPLIANCE OFFICER | 3220826 |
| VENEZIA, THOMAS ANTHONY | DIRECTOR, SVP AND MANAGING PRINCIPAL | 4801049 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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