William C. Hathaway
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 Carl Hathaway was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1983. William had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2012 - July 1, 2020
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
March 25, 2009 - November 28, 2011
ASSOCIATED FINANCIAL SERVICES, INC.
February 5, 1999 - January 21, 2009
HIMCO DISTRIBUTION SERVICES COMPANY
January 1, 1996 - January 29, 1999
LOCUST STREET SECURITIES, INC.
June 18, 1992 - January 1, 1996
OLD SLIP CAPITAL MANAGEMENT, INC.
August 31, 1983 - July 9, 1990
HIMCO DISTRIBUTION SERVICES COMPANY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
Red Flags
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