William J. Kirby
Professional summary
William Joseph Kirby, who also goes by Bill Kirby III, William Joseph Kirby III, is a registered financial professional currently at TJM INVESTMENTS, LLC located in Rowayton, Connecticut.
William is registered as a RR (Registered Representative) and started their career in finance in 1986. William has worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Joseph Kirby's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 23, 2016 - Present
TJM INVESTMENTS, LLC
Office #1: 137 Rowayton Ave Suite 101, Rowayton, CT 06853May 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
(1/2/2020)
(1/6/2020)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 8/6/2002
Limited Representative-Equity Trader ExamCboe Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
New York Stock Exchange
Current 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 |
Disclosures
| Regulatory Event | 12 |
Red Flags
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