William T. Seed
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 Tripler Seed JR was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1986. William had worked at 4 firms and has passed the Series 63, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 1989 - April 16, 1997
TUCKER ANTHONY INCORPORATED
October 9, 1989 - November 8, 1989
MARKETING ONE SECURITIES, INC.
September 11, 1989 - September 28, 1989
MARKETING ONE SECURITIES, INC.
February 22, 1988 - September 19, 1989
A. F. INVESTMENTS, INC.
May 20, 1986 - May 4, 1987
"SHAREAMERICA"
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
TUCKER ANTHONY INCORPORATED
CRD#: 837 / SEC#: , 8-19301
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 57 |
| Civil Event | 1 |
| Arbitration | 9 |
| Bond | 5 |
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.
