William J. Davis
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 Joseph Davis III, who also goes by William Joseph Davis, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1984. William had worked at 11 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 2005 - February 4, 2019
TMC BONDS L.L.C.
October 15, 2002 - November 14, 2005
W.A. CAPITAL MARKETS
February 20, 2002 - October 15, 2002
R.W. SMITH & ASSOCIATES, LLC
December 11, 2000 - June 20, 2001
CITIGROUP GLOBAL MARKETS INC.
July 24, 2000 - August 31, 2000
MINT BROKERS
May 29, 1990 - July 24, 2000
MUNICIPAL PARTNERS INC.
October 23, 1989 - May 15, 1990
J.J. KENNY DRAKE, INC.
March 3, 1987 - October 7, 1989
G.I.M.B. MUNICIPAL SECURITIES BROKER
May 28, 1986 - February 17, 1987
O'BRIEN & SHEPARD, INC.
April 26, 1985 - March 30, 1987
IICC - TRADECO, INC.
April 3, 1984 - April 19, 1985
TITUS & DONNELLY 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 55
Date: 3/2/2001
Limited Representative-Equity Trader ExamCurrent Firm
TMC BONDS L.L.C.
CRD#: 104507 / SEC#: , 8-52951
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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