William A. Ethridge
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 Asher Ethridge was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1983. William had worked at 6 firms and has passed the Series 63, Series 7 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
October 2, 1995 - December 31, 2002
THE MASTERS, INC.
December 7, 1989 - December 31, 2013
VSR FINANCIAL SERVICES, INC.
November 19, 1989 - December 13, 1989
OSAIC WEALTH, INC.
September 15, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
December 3, 1984 - September 17, 1988
SOUTHMARK FINANCIAL SERVICES, INC.
August 8, 1983 - December 6, 1984
SECURITIES MANAGEMENT & RESEARCH, INC.
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
Current firm
No current employment
Red Flags
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.
