William L. Senior
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 Lloyd Senior SR, who also goes by Billy Senior, William Lloyd Senior Sr., William Lloyd Senior, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1986. William had worked at 14 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2009 - December 23, 2014
AVANTAX INVESTMENT SERVICES, INC.
February 8, 2007 - August 29, 2007
PRINCIPAL SECURITIES, INC.
March 3, 2006 - December 18, 2006
MML INVESTORS SERVICES, LLC
May 5, 2004 - August 30, 2005
ALLSTATE FINANCIAL SERVICES, LLC
July 8, 2003 - April 21, 2004
NYLIFE SECURITIES LLC
November 26, 2002 - June 16, 2003
WADDELL & REED
June 29, 2001 - November 11, 2002
NEW ENGLAND SECURITIES
May 19, 1997 - December 18, 2000
MML INVESTORS SERVICES, LLC
March 6, 1996 - April 2, 1997
THE ADVISORS GROUP, INC.
August 2, 1994 - November 10, 1995
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
February 26, 1992 - April 14, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 26, 1992 - April 14, 1993
EQUITABLE ADVISORS, LLC
January 2, 1990 - February 22, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 2, 1990 - February 22, 1990
EQUITABLE ADVISORS, LLC
May 17, 1988 - October 11, 1988
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
May 17, 1988 - October 11, 1988
PRUCO SECURITIES, LLC.
August 6, 1986 - December 21, 1987
AMERIPRISE FINANCIAL SERVICES, LLC
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
AVANTAX INVESTMENT SERVICES, INC.
CRD#: 13686 / SEC#: , 8-29533
Contact information
FINRA licenses (7 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVANTAX WEALTH MANAGEMENT, INC. | SOLE SHAREHOLDER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | GENERAL COUNSEL, SECRETARY | 5059738 |
| HOLWEGER, KIMBERLEY | PRINCIPAL OPERATIONS OFFICER | 1572778 |
| MACKAY, TODD CHRISTOPHER | DIRECTOR AND VICE PRESIDENT | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER | 5769181 |
| NEARY, JOSEPH DANIEL | DIRECTOR AND VICE PRESIDENT | 2993505 |
| WATTS, ANDREW DAVID | PRESIDENT | 4780880 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 4 |
| Bond | 1 |
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.
