William J. Kirby
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 Kirby, who also goes by Bill Kirby III, William Joseph Kirby III, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1986. William had worked at 8 firms and has passed the Series 63, Series 3, Series 57TO, SIE, Series 55, 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
September 23, 2016 - February 2, 2026
TJM INVESTMENTS, LLC
May 20, 2015 - July 5, 2016
OPPENHEIMER & CO. INC.
August 3, 2010 - June 9, 2014
BMO CAPITAL MARKETS CORP.
December 7, 2007 - July 16, 2010
MANORHAVEN CAPITAL LLC
August 31, 2005 - January 25, 2007
TRANSMARKET GROUP L.L.C.
July 1, 2003 - July 6, 2004
WELLS FARGO CLEARING SERVICES, LLC
September 20, 1989 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
November 18, 1986 - July 29, 1989
THOMSON MCKINNON SECURITIES INC.
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 8/6/2002
Limited Representative-Equity Trader ExamCurrent Firm
TJM INVESTMENTS, LLC
CRD#: 46300 / SEC#: , 8-51370
Contact information
FINRA licenses (34 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TJM HOLDINGS, LLC | HOLDING COMPANY | |
| BEITLER, STEVE ALLEN | CHIEF EXECUTIVE OFFICER | 1893827 |
| BURKE, JOHN TERRENCE | CHIEF OPERATING OFFICER | 2116593 |
| DANG, STACY BINH | CHIEF COMPLIANCE OFFICER | 3143275 |
| MURPHY, THOMAS JAMES | CO-MANAGER | 857354 |
| RISINGER, COLLEEN SULLIVAN | FINOP CFO | 2812053 |
| SKWERES, DENISE PAREJKO | FINOP CFO | 5332253 |
| WARD, BARRY DANIEL | MANAGING DIRECTOR | 1584523 |
Disclosures
| Regulatory Event | 12 |
Red Flags
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