William H. Sias
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 Henry Sias, who also goes by Bill Sias, William H. Sias Sr., was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1986. William had worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2013 - December 4, 2014
COHEN & COMPANY SECURITIES, LLC
August 5, 2010 - April 22, 2013
MOUNTAINVIEW SECURITIES, LLC
December 1, 2009 - August 2, 2010
MADISON WILLIAMS AND COMPANY
June 14, 2002 - December 16, 2009
SANDERS MORRIS LLC
June 6, 2001 - July 12, 2002
FIRST SOUTHWEST COMPANY, LLC
May 28, 1993 - December 20, 2000
PRUDENTIAL EQUITY GROUP, LLC
June 12, 1989 - June 24, 1993
LEHMAN BROTHERS INC.
October 20, 1987 - June 20, 1989
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
June 8, 1987 - November 3, 1987
ROTAN MOSLE INC.
August 19, 1986 - June 25, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
COHEN & COMPANY SECURITIES, LLC
CRD#: 149758 / SEC#: , 8-68186
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 6 |
Red Flags
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