William F. Pinney
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 Frederick Pinney 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, Series 7, Series 28 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2006 - January 29, 2014
MAYFAIR SECURITIES, LLC
March 21, 1996 - February 7, 2002
NEWCAP PARTNERS, INC.
September 9, 1994 - April 21, 1995
BROCKETT TAMNY & CO. INCORPORATED
June 1, 1984 - July 11, 1988
UBS FINANCIAL SERVICES INC.
November 23, 1983 - June 1, 1984
BLYTH EASTMAN PAINE WEBBER INCORPORATED
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 28
Date: 7/20/2010
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
MAYFAIR SECURITIES, LLC
CRD#: 138684 / SEC#: , 8-67168
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PINNEY, WILLIAM FREDERICK | MANAGING MEMBER, CCO, FINANCIAL OPERATIONS PRINCIPAL | 1215484 |
Red Flags
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