Bill R. Day
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.
Bill Rex Day, CFP®, CIMA®, who also goes by Bill Day, Billy Rex Day, was a registered financial professional .
Bill is a previously registered financial professional and started their career in finance in 1984. Bill had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 2018 - May 16, 2019
PURSHE KAPLAN STERLING INVESTMENTS
October 6, 2017 - December 31, 2022
ENGRAVE WEALTH PARTNERS, LLC
June 1, 2009 - October 10, 2017
MORGAN STANLEY
June 1, 2009 - October 10, 2017
MORGAN STANLEY
August 29, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
August 29, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
June 28, 1989 - September 3, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 28, 1989 - September 3, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 8, 1989 - August 3, 1989
PERSHING LLC
February 21, 1984 - May 22, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH 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 8
Date: 9/20/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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