William Imig
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 Imig, who also goes by Bill Imig, William David Imig, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1987. William had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2022 - November 28, 2023
J.P. MORGAN SECURITIES LLC
January 24, 2022 - November 28, 2023
J.P. MORGAN SECURITIES LLC
July 21, 2021 - November 9, 2021
QUILITY FINANCIAL ADVISORS
October 4, 2019 - September 24, 2020
THE LEADERS GROUP, INC.
August 22, 2014 - October 16, 2019
WELLS FARGO CLEARING SERVICES, LLC
August 21, 2014 - October 16, 2019
WELLS FARGO CLEARING SERVICES, LLC
January 25, 2012 - April 1, 2014
P.J. ROBB VARIABLE, LLC
June 1, 2011 - December 31, 2011
THE LEADERS GROUP, INC.
July 15, 2010 - June 7, 2011
P.J. ROBB VARIABLE, LLC
June 1, 2009 - July 12, 2010
MORGAN STANLEY
June 1, 2009 - July 12, 2010
MORGAN STANLEY
January 25, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
January 23, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
November 14, 2005 - December 31, 2006
VOYA FINANCIAL ADVISORS, INC.
August 10, 2000 - August 29, 2005
HIMCO DISTRIBUTION SERVICES COMPANY
August 28, 1998 - August 1, 2000
TRANSAMERICA FINANCIAL ADVISORS, LLC
December 23, 1997 - August 19, 1998
VOYA FINANCIAL ADVISORS, INC.
September 28, 1989 - May 9, 1990
CETERA WEALTH SERVICES, LLC
August 12, 1987 - September 12, 1989
WASHINGTON NATIONAL EQUITY COMPANY
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
