William Findlay
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 Findlay was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1985. William had worked at 9 firms and has passed the Series 63, Series 6TO, SIE 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
March 6, 2017 - June 14, 2022
BRIGHTHOUSE SECURITIES, LLC
October 18, 2007 - March 6, 2017
METLIFE INVESTORS DISTRIBUTION COMPANY
November 2, 2006 - August 9, 2007
AUGUSTAR DISTRIBUTORS, INC.
June 3, 2002 - August 1, 2006
UBS FINANCIAL SERVICES INC.
November 16, 1992 - August 1, 2006
UBS FINANCIAL SERVICES INC.
September 22, 1992 - November 18, 1992
USLIFE EQUITY SALES CORP.
March 16, 1990 - September 21, 1992
INVEST FINANCIAL CORPORATION
May 27, 1988 - October 25, 1989
LEHMAN BROTHERS INC.
November 10, 1986 - June 17, 1988
PRUDENTIAL EQUITY GROUP, LLC
December 17, 1985 - November 13, 1986
MCLAUGHLIN, PIVEN, VOGEL 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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
BRIGHTHOUSE SECURITIES, LLC
CRD#: 285300 / SEC#: , 8-69845
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRIGHTHOUSE HOLDINGS, LLC | SOLE MEMBER (SHAREHOLDER) | |
| BEAULIEU, PHILIP JOHNATHON | VICE PRESIDENT | 5300540 |
| DAVIS, MICHAEL BENJAMIN | VICE PRESIDENT | 1742347 |
| LAMBERT, MYLES JOSEPH | CHAIRMAN PRESIDENT AND CEO | 3107551 |
| LEINTZ, DONALD ANTHONY | VICE PRESIDENT | 4374813 |
| MACILVANE, KEVIN MICHAEL JR | VICE PRESIDENT | 5164574 |
| MARTINEZ, JOHN GREGORY | PRINCIPAL FINANCIAL OFFICER | 2210722 |
| MORGAN, JANET MARIE | VICE PRESIDENT | 6770849 |
| NIGRO, GERARD JOSEPH | SENIOR VICE PRESIDENT | 1577003 |
| PROHONIC, KRISTIN LEE | CHIEF COMPLIANCE OFFICER | 3048592 |
Red Flags
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