William J. Papp
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 Papp JR, who also goes by William J Papp Jr, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1992. William had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2017 - April 5, 2018
OPUS FINANCIAL PARTNERS, LLC
May 5, 2015 - October 7, 2015
MICROVENTURE MARKETPLACE INC.
August 31, 2011 - October 18, 2013
MIZUHO SECURITIES USA LLC
April 5, 2005 - March 16, 2011
PACIFIC CREST SECURITIES LLC
March 21, 2005 - April 5, 2005
PACIFIC CREST SECURITIES LLC
November 17, 1998 - February 2, 2005
PRUDENTIAL EQUITY GROUP, LLC
November 3, 1994 - November 6, 1998
LEHMAN BROTHERS INC.
July 17, 1992 - November 11, 1994
KEYBANC CAPITAL MARKETS INC.
May 21, 1992 - July 23, 1992
H.C.WAINWRIGHT & CO., LLC
State Registrations and Notice Filings
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Exams
Current Firm
OPUS FINANCIAL PARTNERS, LLC
CRD#: 172146 / SEC#: , 8-69501
Contact information
Documents
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.
