William T. Mccormac
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 Thomas Mccormac, who also goes by Bill Mccormac, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1986. William had worked at 12 firms and has passed the Series 65, Series 63 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
February 1, 2011 - February 1, 2012
CAPITAL GUARDIAN, LLC
August 9, 2002 - February 1, 2011
CUMBERLAND BROKERAGE CORPORATION
June 15, 2001 - August 7, 2002
JANNEY MONTGOMERY SCOTT LLC
March 9, 1999 - June 18, 2001
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 15, 1996 - March 5, 1999
THE ADVISORS GROUP, INC.
September 17, 1990 - March 5, 1992
FUNDMARK INVESTMENT COMPANY SERVICES, INC.
August 16, 1990 - September 6, 1995
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
December 15, 1988 - August 14, 1990
INVEST FINANCIAL CORPORATION
January 13, 1988 - November 9, 1988
PRUDENTIAL EQUITY GROUP, LLC
June 23, 1987 - January 20, 1988
CIBC WORLD MARKETS CORP.
March 20, 1987 - April 13, 1987
HERITAGE FINANCIAL INVESTMENTS CORPORATION
May 22, 1986 - March 20, 1987
BAKER, WATTS & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CAPITAL GUARDIAN, LLC
CRD#: 137919 / SEC#: , 8-67133
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
Red Flags
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