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William J. Reik

Some features on this profile are disabled
CRD#: 1303149
WR

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 James Reik, who also goes by Trey Reik, William James Reik III, William Trey Reik III, William Reik Iii, 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 66, Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Trey Reik | William James Reik Iii | William Trey Reik Iii | William Reik Iii

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 6, 2019 - August 6, 2020

COMPASS SECURITIES CORPORATION

BD
CRD#: 16168
BRAINTREE, MA
Past

January 8, 2019 - October 16, 2019

SPROTT GLOBAL RESOURCE INVESTMENTS LTD

BD
CRD#: 35878
Darien, CT
Past

January 22, 2018 - October 16, 2019

SPROTT ASSET MANAGEMENT USA INC.

RIA
CRD#: 139022
Darien, CT
Past

January 21, 2009 - January 4, 2010

RANGE GLOBAL LLC

BD
CRD#: 104393
NEW YORK, NY
Past

February 18, 2000 - November 2, 2007

BREAN CAPITAL, LLC

BD
CRD#: 23723
NEW YORK, NY
Past

October 28, 1996 - February 2, 2000

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

October 16, 1993 - October 30, 1996

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

November 24, 1986 - February 25, 1991

UBS ASSET MANAGEMENT (US) INC.

BD
CRD#: 583
NEW YORK, NY
Past

September 24, 1984 - December 13, 1984

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/14/2020
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/8/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/20/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/9/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/8/2019
General Securities Representative Examination

Current Firm

CS
COMPASS SECURITIES CORPORATION
COMPASS SECURITIES CORPORATION

CRD#: 16168 / SEC#: , 8-33438

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
50 Braintree Hill Park Suite 105, Braintree, MA 02184-8734
Mailing Address
50 Braintree Hill Park Suite 105, Braintree, MA 02184-8734
Phone number
(781) 535-6083
Established
Massachusetts since 11/05/1984
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
COMPASS HOLDING GROUP INCSHAREHOLDER
CHAISSON, SCOTT STEPHENPRESIDENT/CEO2353375
SHANAHAN, TIMOTHY FRANCISDIRECTOR-CHIEF FINANCIAL OFFICER709231
WESCHLER, SUSAN MAUREENCHIEF COMPLIANCE OFFICER, CHIEF OPERATIONS OFFICER1796103

Disclosures

Regulatory Event1

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.

Company Information

COMPASS SECURITIES CORPORATION

CRD#: 16168

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