William P. Morrill
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 P Morrill, who also goes by Bill Morrill, William Philip Morrill III, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1999. William had worked at 6 firms and has passed the Series 63, Series 66, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2011 - May 25, 2012
BBVA COMPASS INVESTMENT SOLUTIONS, INC
October 23, 2009 - December 15, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - December 15, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 6, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 4, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 19, 2003 - July 28, 2005
STRATEGIC ADVISERS LLC
May 29, 2003 - July 28, 2005
FIDELITY DISTRIBUTORS CORPORATION
May 19, 1999 - July 28, 2005
FIDELITY BROKERAGE SERVICES LLC
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
Current Firm
BBVA COMPASS INVESTMENT SOLUTIONS, INC
CRD#: 17086 / SEC#: , 8-34988
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMPASS BANK | OWNER OF COMPASS BROKERAGE, INC. | |
| BARRAZA, JUAN CARLOS | SENIOR VICE PRESIDENT | 2979487 |
| CARTEE, JOSEPH BYRON | ASSISTANT SECRETARY | |
| CHACONTISCARENO, HECTOR | DIRECTOR/CHAIRMAN OF THE BOARD/MANAGING DIR, INTERNATIONAL DIV | 2946609 |
| DELGADO, BERNARDO ALBERTO | VICE PRESIDENT | 2462176 |
| FIROZGARY, FARROKH MEHRBAN | SENIOR VICE PRESIDENT | 3263239 |
| GUERRERA, DARREN CYRIL | CFO/FINOP/VICE PRESIDENT | 2541120 |
| HAGEMANN, BRUCE ANDREW | DIRECTOR/PRESIDENT/CEO | 1922613 |
| HELMS, WILLIAM CHARLES | DIRECTOR | 4625212 |
| HERRICK, BRIAN R. | ASSISTANT SECRETARY | |
| HULVEY, DOROTHY J | COO | 5880903 |
| IBARRA, JORGE EDUARDO | SENIOR VICE PRESIDENT | 3079569 |
| KIRKNER, LORI VEREEN | VICE PRESIDENT | 1903977 |
| KNIGHT, WENDY SUSANNE | VICE PRESIDENT | 2539405 |
| LLANO, FRANCISCO MANUEL | SENIOR VICE PRESIDENT | 2751609 |
| MCMURRAY, LORIN JAMES | SENIOR VICE PRESIDENT/NATIONAL SALES MANAGER | 1719473 |
| MCROBERTS, KAREN LARSON | SENIOR VICE PRESIDENT | 2040152 |
| NEEL, DAVID SULLIVAN JR | SR. VICE PRESIDENT, CCO, SECRETARY, DIRECTOR | 1884109 |
| PRESSLEY, KIRK PAUL | TREASURER | 4714214 |
| RAMOS, MARIO A | ASSISTANT SECRETARY | |
| RODRIGUEZ, JOSE RAMON | SENIOR VICE PRESIDENT | 4392639 |
| SANCHEZ, JOAQUIN | SENIOR VICE PRESIDENT | 2708344 |
| SAWYER, JOHN EMERY IV | DIRECTOR | 2398228 |
| VIGUIER-GALLEY, ANNE-JOELLE NICOLE | SENIOR VICE PRESIDENT | 2764945 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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