William A. Macgillivray
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 Macgillivray, who also goes by Alex Macgillivray, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1984. William had worked at 16 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2020 - November 30, 2022
STRATCAP SECURITIES, LLC
March 19, 2019 - April 14, 2020
IPI WEALTH MANAGEMENT, INC.
November 9, 2018 - April 14, 2020
INVESTMENT PLANNERS, INC.
March 31, 2016 - April 11, 2018
S2K FINANCIAL LLC
July 7, 2009 - April 9, 2015
REALTY CAPITAL SECURITIES, LLC
January 25, 2006 - November 24, 2008
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
January 12, 2004 - January 6, 2006
LINCOLN FINANCIAL DISTRIBUTORS, INC.
October 4, 1996 - November 5, 2002
EQUITABLE DISTRIBUTORS, LLC
March 30, 1992 - February 5, 1996
FIDELITY DISTRIBUTORS COMPANY LLC
April 11, 1991 - March 19, 1992
MONARCH SECURITIES, INC.
February 25, 1991 - June 4, 1991
MONARCH FINANCIAL SERVICES, INC.
April 17, 1990 - December 31, 1990
ABI SECURITIES, INC.
November 25, 1987 - March 8, 1990
INVESCO CAPITAL MARKETS, INC.
August 14, 1984 - March 19, 1986
INTEGRATED RESOURCES EQUITY CORPORATION
June 22, 1984 - February 18, 1988
MML INVESTORS SERVICES, LLC
March 27, 1984 - April 25, 1984
FORESTERS FINANCIAL SERVICES, 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 79TO
Date: 4/7/2024
Investment Banking Registered Representative ExaminationCurrent Firm
STRATCAP SECURITIES, LLC
CRD#: 151152 / SEC#: , 8-68338
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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