William N Baros
Professional Summary
William N Baros, who also goes by William Nicholas Baros, was a registered financial advisor. William was a previously registered financial professional and started their career in finance 1986 - 2009. William had worked at 5 firms and has passed the Series 63, Series 7TO, Series 79TO, Series 57TO, SIE, Series 55 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
William Nicholas Baros
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
40 years in the financial services industry
Current & Past Employments
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Current Firm
BEAR, STEARNS SECURITIES CORP. | J.P. MORGAN CLEARING CORP.
Contact Information
Established
Delaware since 02/07/1991Firm Type
CorporationFiscal Year End
DecemberDirect owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN SECURITIES LLC | SHAREHOLDER | 79 |
| BERNSTEIN, JEFFREY CARL | DIRECTOR | 1844904 |
| BRANNAN, PAUL F | DIRECTOR | 6142593 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER AND FINOP | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| FREILICH, WILLIAM HOWARD | CHIEF LEGAL OFFICER | 2203801 |
| HEITSENRETHER, TERESA ANN | CHAIRMAN, CHIEF EXECUTIVE OFFICER | 2722512 |
| KIRBY, PATRICK C | CHIEF OPERATING OFFICER AND DIRECTOR | 2595086 |
| LIPMAN, JEFFREY MARK | SECRETARY | 717915 |
| MCKENNA, JOHN JAMES | DIRECTOR | 2732946 |
| MINIKES, MICHAEL | DIRECTOR | 1204499 |
| PATTERSON, DAWN ANN | CHIEF COMPLIANCE OFFICER | 2862235 |
| REED, JAMIE MATTHEW | DIRECTOR | 2797383 |
Disclosures
Regulatory Event
38Civil Event
1Arbitration
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jul 2022About the Series 79TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Feb 2000Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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