William K. Bischoff
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 Kurt Bischoff was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1985. William had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2016 - September 20, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 6, 2016 - September 20, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 2, 2014 - December 28, 2015
ICAPITAL MARKETS LLC
May 22, 2013 - December 11, 2013
SGMA CAPITAL MARKETS LIMITED
May 2, 2012 - May 7, 2013
ACADEMY SECURITIES, INC.
January 17, 2012 - September 14, 2012
ICAPITAL MARKETS LLC
March 2, 2011 - December 20, 2011
UPHOLD SECURITIES INC.
March 3, 2010 - March 1, 2011
ICAPITAL MARKETS LLC
December 17, 2002 - November 22, 2006
FHN FINANCIAL SECURITIES CORP.
July 10, 2002 - February 8, 2010
FTN EQUITY CAPITAL MARKETS CORP.
September 8, 2000 - November 18, 2002
FHN FINANCIAL SECURITIES CORP.
June 16, 1999 - March 1, 2000
TRUIST SECURITIES, INC.
January 2, 1997 - June 17, 1999
ABN AMRO INCORPORATED
February 21, 1995 - January 2, 1997
THE CHICAGO CORPORATION
May 18, 1994 - February 17, 1995
ABN AMRO SECURITIES LLC
July 5, 1988 - December 21, 1993
MORGAN KEEGAN & COMPANY, LLC
November 18, 1987 - July 14, 1988
DAIWA CAPITAL MARKETS AMERICA INC.
February 21, 1985 - November 18, 1987
FREIMARK BLAIR & COMPANY, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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 8
Date: 7/31/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
