William D. Tanis
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 David Tanis, who also goes by William D Tanis, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1992. William had worked at 3 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 1998 - August 16, 2000
FIRST OPTIONS OF CHICAGO, INC.
June 2, 1995 - September 30, 1998
LIT CLEARING SERVICES, INC.
March 23, 1992 - January 5, 1994
KESSLER ASHER CLEARING L.P.
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
FIRST OPTIONS OF CHICAGO, INC.
CRD#: 13822 / SEC#: , 8-23787
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SLK ACQUISITION COMPANY | HOLDING COMPANY | |
| BRENNAN, WILLIAM ROBERT | CFO/TREASURER | 2447538 |
| DESENA, NEIL VITO | DIRECTOR | 1508780 |
| DUGGAN, BRIAN FLYNN | DIRECTOR/PRESIDENT/COO/CEO/CHAIRMAN | 1643188 |
| LAWLER, PETER TRAUGOTT | DIRECTOR/PRESIDENT/CEO/CHAIRMAN | 1131068 |
| LIEBERMAN, MITCHELL JAY | DIRECTOR | 2544010 |
| LOWDON, EILEEN BARBARA | CIO | |
| MAROVICH, NICHOLAS LEE | DIRECTOR | 1255498 |
| NIEDERAUER, DUNCAN LEIGH | DIRECTOR | 1755301 |
| SCHELL, RICHARD EDWARD | CHIEF COMPLIANCE OFFICER | 1543415 |
Disclosures
| Regulatory Event | 46 |
| Arbitration | 2 |
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.
