William J. Davis
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 John Davis was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1984. William had worked at 10 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 2006 - October 16, 2014
CAPITAL PATH SECURITIES, LLC
January 16, 2003 - March 21, 2003
ARJENT LTD.
January 31, 2001 - February 20, 2007
S.G. MARTIN SECURITIES LLC
September 5, 1997 - February 5, 2001
CREATIVE CAPITAL MANAGEMENT CORPORATION
May 6, 1997 - October 9, 1997
FM PACIFIC CAPITAL MANAGEMENT, INC.
May 8, 1995 - June 4, 1997
AMERIVET SECURITIES, INC.
July 6, 1994 - August 6, 1997
COLIN WINTHROP & CO., INC.
September 28, 1993 - June 27, 1994
GOLDIS FINANCIAL GROUP, INC.
June 21, 1993 - October 8, 1993
PRIME CAPITAL SERVICES, INC.
October 11, 1988 - June 17, 1993
GOLDIS FINANCIAL GROUP, INC.
April 18, 1984 - October 8, 1988
BENJAMIN SECURITIES, INC.
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 55
Date: 12/28/2006
Limited Representative-Equity Trader ExamCurrent Firm
CAPITAL PATH SECURITIES, LLC
CRD#: 104363 / SEC#: , 8-52824
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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