William A. Shopoff
Professional summary
William Anthony Shopoff, who also goes by Bill Shopoff, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Anthony Shopoff's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 29, 2007 - Present
SHOPOFF SECURITIES, INC.
Office #1: 18565 Jamboree Road, Suite 200, Irvine, CA 92612Office #2: 18565 Jamboree Road Suite 200, Irvine, CA 92612October 19, 1984 - December 23, 1985
WILLIAM SHOPOFF SECURITIES,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
(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
Series 79TO
Date: 8/4/2021
Investment Banking Registered Representative ExaminationSeries 62
Date: 1/30/2007
Corporate Securities Limited Representative ExaminationFINRA
Current Firm
SHOPOFF SECURITIES, INC.
CRD#: 142866 / SEC#: , 8-67499
Contact information
FINRA licenses (51 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 |
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.
