William Gardner
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 Gardner, CFA was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1984. William had worked at 5 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2023 - February 8, 2024
LPS CAPITAL LLC
July 24, 2008 - September 11, 2023
WHITAKER SECURITIES LLC
February 27, 1997 - July 25, 2008
SEABOARD SECURITIES, INC.
June 22, 1989 - February 10, 1997
CHAPDELAINE CORPORATE SECURITIES & CO
February 24, 1984 - June 24, 1989
KMS CORPORATE BROKERS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 52TO
Date: 7/17/2023
Municipal Securities Representative ExaminationCurrent Firm
LPS CAPITAL LLC
CRD#: 155246 / SEC#: , 8-68706
Contact information
FINRA licenses (28 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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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