William J. Terribile
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 Terribile JR, who also goes by William J Terribile, William J Jr Terribile, William John Terrible Jr, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1983. William had worked at 10 firms and has passed the Series 63, Series 65, Series 52TO, Series 99TO, SIE, Series 7, Series 22, Series 6, Series 53, Series 27, Series 4, Series 24 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
June 2, 2021 - December 31, 2021
THE LEADERS GROUP, INC.
July 30, 2004 - February 18, 2022
ESSEX FINANCIAL SERVICES, INC.
July 28, 2004 - August 3, 2021
ESSEX FINANCIAL SERVICES, INC.
March 11, 2004 - August 4, 2004
NEWALLIANCE INVESTMENTS, INC.
July 26, 2001 - February 23, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 14, 1999 - July 11, 2001
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 7, 1998 - July 13, 1999
IFMG SECURITIES, INC.
July 12, 1993 - March 17, 1998
CUNA BROKERAGE SERVICES, INC.
January 18, 1991 - July 7, 1993
SENTRY EQUITY SERVICES, INC.
January 3, 1989 - October 23, 1989
MAIN STREET MANAGEMENT COMPANY
June 14, 1983 - January 28, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 14, 1983 - January 28, 1989
EQUITABLE ADVISORS, LLC
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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