William F. Lindsey
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 Francis Lindsey 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 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2006 - October 10, 2024
SWALLOW FARMS CAPITAL MANAGEMENT
January 14, 2005 - August 16, 2006
CITIGROUP GLOBAL MARKETS INC.
September 16, 1997 - January 21, 2005
PIPER SANDLER & CO.
July 29, 1994 - January 21, 2005
PIPER SANDLER & CO.
March 22, 1985 - August 18, 1994
LEHMAN BROTHERS INC.
August 23, 1983 - March 6, 1985
KIDDER, PEABODY & CO. INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
SWALLOW FARMS CAPITAL MANAGEMENT
CRD#: 141632 / SEC#: 801-67112
Contact information
Red Flags
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