William D. Redfern
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 Donald Redfern was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1986. William had worked at 5 firms and has passed the Series 65, Series 63, Series 3 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
November 7, 2002 - May 21, 2008
BISHOP, ROSEN & CO., INC.
September 25, 2002 - October 31, 2002
OPPENHEIMER & CO. INC.
May 12, 1994 - September 18, 2002
J.P. MORGAN SECURITIES LLC
July 31, 1993 - May 31, 1994
CITIGROUP GLOBAL MARKETS INC.
July 23, 1986 - July 31, 1993
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BISHOP, ROSEN & CO., INC.
CRD#: 1248 / SEC#: , 8-12140
Contact information
Disclosures
| Regulatory Event | 15 |
| Arbitration | 1 |
| Bond | 1 |
Red Flags
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