William J. Moratti
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 Joseph Moratti, who also goes by Bill Moratti, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1985. William had worked at 13 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2012 - February 10, 2014
STANDARD CREDIT SECURITIES INC.
January 3, 2012 - January 8, 2024
TRADITION SECURITIES AND DERIVATIVES LLC
January 26, 2010 - November 16, 2011
WHITAKER SECURITIES LLC
December 1, 2008 - January 22, 2010
RAFFERTY CAPITAL MARKETS, LLC
March 31, 2008 - November 24, 2008
WHITAKER SECURITIES LLC
May 23, 2005 - March 31, 2008
SEABOARD SECURITIES, INC.
May 12, 2004 - May 31, 2005
GFI SECURITIES LLC
August 1, 2002 - April 26, 2004
NEWEDGE USA, LLC
October 19, 1995 - August 1, 2002
TP ICAP GLOBAL MARKETS AMERICAS LLC
April 30, 1991 - October 16, 1995
CEDAR STREET SECURITIES CORP.
April 10, 1991 - April 30, 1991
MABON, NUGENT & CO.
June 14, 1988 - March 25, 1991
TULLETT LIBERTY BROKERAGE INC.
October 29, 1985 - August 6, 1987
LEHMAN BROTHERS INC.
February 21, 1985 - July 15, 1985
L. F. ROTHSCHILD & CO. INCORPORATED
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/29/2000
Limited Representative-Equity Trader ExamCurrent Firm
STANDARD CREDIT SECURITIES INC.
CRD#: 42813 / SEC#: , 8-50011
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADITION (NORTH AMERICA) INC. | 100% OWNER | |
| ARAGONA, ANTHONY THOMAS | CHIEF OPERATIONS OFFICER | 4271496 |
| ASSENTATO, EMIL | CHAIRMAN OF THE BOARD OF DIRECTORS | 1952191 |
| EARNHARDT, ERIC MICHAEL | CHIEF COMPLIANCE OFFICER, AML OFFICER | 1855856 |
| FEWER, DONALD PATRICK | CHIEF EXECUTIVE OFFICER | 1415123 |
| RICCIARDI, JUDITH ANN | EXECUTIVE VICE PRESIDENT, SECRETARY, TREASURER, FINOP, CFO | 2260346 |
Disclosures
| Regulatory Event | 2 |
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.
