William P. Cardin
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 Page Cardin was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1984. William had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2016 - March 8, 2018
SCOTTRADE INVESTMENT MANAGEMENT
July 2, 2008 - March 8, 2018
SCOTTRADE, INC.
May 17, 2006 - June 16, 2008
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
November 2, 2005 - June 16, 2008
TD AMERITRADE, INC.
September 8, 2005 - June 16, 2008
TD AMERITRADE, INC.
July 6, 2005 - August 25, 2005
CHASE INVESTMENT SERVICES CORP.
May 13, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
December 6, 2004 - April 22, 2005
FORESTERS EQUITY SERVICES, INC.
January 20, 1997 - October 13, 1997
PRUDENTIAL EQUITY GROUP, LLC
June 28, 1996 - April 8, 1997
ALPS DISTRIBUTORS, INC.
July 7, 1992 - March 29, 1996
INVESCO CAPITAL MARKETS, INC.
August 21, 1990 - January 28, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 23, 1984 - April 7, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
SCOTTRADE INVESTMENT MANAGEMENT
CRD#: 169988 / SEC#: 801-79217
Contact information
Red Flags
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