William Anthony Shopoff
Professional Summary
William Anthony Shopoff, who also goes by Bill Shopoff, is a registered financial advisor currently at SHOPOFF SECURITIES, INC. located in Irvine, California. William is registered as a RR (Registered Representative) and started their career in finance in 1984. William has worked at 2 firms and has passed the Series 63, Series 79TO, SIE, Series 22, Series 62, Series 24 and Series 39 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Bill Shopoff
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
42 years in the financial services industry
Current & Past Employments
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Current Firm
SHOPOFF SECURITIES, INC.
Contact Information
Main Address
18565 Jamboree Road, Suite 200, Irvine, CA 92612Mailing Address
18565 Jamboree Road, Suite 200, Irvine, CA 92612Phone Number
(949) 417-1397Established
Delaware since 09/15/2006Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE SHOPOFF REVOCABLE TRUST DATED 8/12/2004 | OWNER | — |
| MERRIMAN, JO ALMA | CHIEF OPERATING OFFICER | 7346895 |
| SHOPOFF, CINDY MILAM | TRUSTEE | 5380583 |
| SHOPOFF, WILLIAM ANTHONY | CHIEF COMPLIANCE OFFICER / AML-CO | 1273471 |
| SHOPOFF, WILLIAM ANTHONY | PRESIDENT/CEO | 1273471 |
| SHOPOFF, WILLIAM ANTHONY | TRUSTEE | 1273471 |
| SHUMBERG, IVANA M | FINOP | 3167225 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(6/5/2007)
(5/29/2007)
(6/8/2007)
(6/14/2007)
(6/6/2007)
(6/1/2007)
(7/28/2011)
(5/9/2014)
(11/18/2014)
(7/10/2014)
(6/20/2007)
(4/20/2021)
(6/20/2007)
(2/6/2014)
(2/1/2021)
(2/3/2014)
(6/20/2007)
(2/3/2021)
(5/31/2007)
(4/14/2021)
(3/27/2007)
(9/10/2014)
(5/29/2007)
(9/20/2022)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Aug 2021About the Series 79TO examSeries 22 — Direct Participation Programs Representative Examination
Passed Aug 2007About the Series 22 examSeries 62 — Corporate Securities Limited Representative Examination
Passed Jan 2007Series 39 — Direct Participation Programs Principal Examination
Passed Jun 1984About the Series 39 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view William Anthony Shopoff's CRS (Customer Relationship Summary).
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