William A. Spies
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 Alexander Spies, who also goes by Alex Spies, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1983. William had worked at 3 firms and has passed the Series 65, Series 63, Series 15, Series 5, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2013 - November 13, 2015
CROSSROAD CAPITAL MANAGEMENT, LLC
May 25, 1989 - November 27, 1995
CITIGROUP GLOBAL MARKETS INC.
December 21, 1983 - April 16, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 15
Date: 12/14/1987
Foreign Currency Options ExaminationSeries 5
Date: 1/20/1984
Interest Rate Options ExaminationCurrent Firm
CROSSROAD CAPITAL MANAGEMENT, LLC
CRD#: 168694 / SEC#:
Contact information
Red Flags
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