William Joseph Moratti
Professional Summary
William Joseph Moratti, who also goes by Bill Moratti, was a registered financial advisor. William was a previously registered financial professional and started their career in finance 1985 - 2014. William had worked at 13 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Bill Moratti
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
41 years in the financial services industry
Current & Past Employments
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Current Firm
STANDARD CREDIT SECURITIES INC. | TRADITION GLOBAL SECURITIES INC. | TRADITION (GLOBAL CLEARING) INC.
Contact Information
Established
Delaware since 10/25/1996Firm Type
CorporationFiscal Year End
DecemberDocuments
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
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Sep 2000Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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