William T. Lockard
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 Thomas Lockard 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 65, Series 63, SIE, Series 7, Series 52, 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
July 1, 2021 - August 25, 2023
INSPEREX LLC
April 28, 2017 - July 12, 2021
280 SECURITIES LLC
January 8, 2016 - January 3, 2017
COIT CAPITAL SECURITIES LLC
November 25, 2014 - December 3, 2015
FUNDRISE ADVISORS, LLC
September 30, 2011 - March 27, 2014
STIFEL, NICOLAUS & COMPANY, INCORPORATED
September 30, 2011 - March 27, 2014
STIFEL, NICOLAUS & COMPANY, INCORPORATED
September 6, 2006 - September 30, 2011
STONE & YOUNGBERG LLC
August 30, 2006 - December 24, 2008
S & Y ASSET MANAGEMENT LLC
October 21, 2005 - August 30, 2006
S & Y ASSET MANAGEMENT LLC
September 10, 1984 - September 30, 2011
STONE & YOUNGBERG 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
Current Firm
INSPEREX LLC
CRD#: 101420 / SEC#: , 8-52081
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSPEREX HOLDINGS LLC | MEMBER: VOTING | |
| BUSSCHER, ARNOLD BRADLEY | CHIEF ADMINSTRATIVE OFFICER AND GENERAL COUNSEL | 2213934 |
| CARRELS, CHRISTINE ANN | CHIEF MARKETING OFFICER | 6651750 |
| DEEG, ADITI DAVARE | CHIEF FINANCIAL OFFICER; PRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER; FIN/OP | 4279152 |
| ELLIOTT, LAURA SUE | PRESIDENT | 2125558 |
| MITCHELL, SCOTT ALEXANDER | CHIEF EXECUTIVE OFFICER | 4717597 |
| NICHOLSON, MARSHALL ALLEN | HEAD OF STRATEGIC INITIATIVES | 4585471 |
| PAPAGIANNIS, JAMES JOHN | CHIEF COMPLIANCE OFFICER & AMLCO | 2449960 |
| RHODES, DERYK TREVOR | HEAD OF WEALTH MANAGEMENT SOLUTIONS | 4157411 |
| TOLAR, JOHN M | HEAD OF FIXED INCOME SALES & TRADING | 3075402 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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