William L. Conrad
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 Lacy Conrad, who also goes by Bill Conrad, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1984. William had worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, 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
November 13, 2019 - September 17, 2021
SPOUTING ROCK CAPITAL ADVISORS, LLC
June 24, 2019 - October 31, 2019
CRESAP, INC.
August 1, 2007 - July 19, 2017
DELAWARE DISTRIBUTORS, L.P.
January 6, 1998 - June 15, 2007
NUVEEN SECURITIES, LLC
December 9, 1994 - November 4, 1997
HAVERFORD TRUST SECURITIES, INC.
December 7, 1992 - June 18, 2007
RITTENHOUSE ASSET MANAGEMENT, INC.
August 7, 1991 - November 4, 1997
HAVERFORD TRUST SECURITIES, INC.
October 3, 1986 - March 8, 1991
FIRST CLEARING, LLC
July 2, 1985 - April 21, 1986
MOSELEY SECURITIES CORPORATION
May 23, 1984 - July 22, 1985
KIDDER, PEABODY & CO. INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 3/6/2024
General Securities Representative ExaminationCurrent Firm
SPOUTING ROCK CAPITAL ADVISORS, LLC
CRD#: 143180 / SEC#: , 8-67539
Contact information
Documents
Red Flags
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