William J. Purvin
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 Joseph Purvin, who also goes by William J Purvin Jr, William J Purvin, William Joseph Purvin Jr, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1984. William had worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 9, Series 10 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
December 18, 2015 - April 21, 2025
FIDELITY BROKERAGE SERVICES LLC
September 4, 2012 - December 3, 2015
OPTIONSXPRESS, INC.
November 2, 2006 - December 1, 2015
CHARLES SCHWAB & CO., INC.
October 12, 2005 - October 17, 2006
TAFFERER TRADING, LLC
January 30, 1994 - December 21, 2001
UBS CAPITAL MARKETS L.P.
March 31, 1987 - December 13, 1993
CHARLES SCHWAB & CO., INC.
February 25, 1985 - November 20, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 22, 1984 - January 18, 1985
J.P. MORGAN SECURITIES LLC
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/13/2006
Limited Representative-Equity Trader ExamSeries 8
Date: 7/10/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
