William D. Williams
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 Daniel Williams III was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1985. William had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2012 - November 13, 2019
BTIG, LLC
March 12, 2009 - March 21, 2012
PULSE TRADING, INC.
February 7, 2008 - November 10, 2008
PULSE TRADING, INC.
June 7, 2005 - January 25, 2008
G1 EXECUTION SERVICES, LLC
April 2, 1998 - April 7, 2005
LAZARD FRERES & CO. LLC
February 12, 1992 - March 18, 1998
UBS SECURITIES LLC
March 19, 1985 - February 7, 1992
SBC WARBURG DILLON READ INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
Red Flags
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