William R. Courtney
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 Robert Courtney was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1985. William had worked at 4 firms and has passed the Series 63 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
June 23, 2011 - August 26, 2013
WILLIAM R. COURTNEY
August 30, 1996 - December 12, 1996
DMK ADVISOR GROUP, INC.
August 1, 1994 - September 13, 1996
KOHN, HEBERT & ASSOCIATES, LTD.
July 24, 1985 - July 29, 1994
U.S. SECURITIES CLEARING CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WILLIAM R. COURTNEY
CRD#: 156142 / SEC#:
Contact information
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.
