William K. Morrill
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 Kelso Morrill III, who also goes by William Kelso Morrill, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1997. William had worked at 7 firms and has passed the Series 66, SIE, Series 31 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 8, 2010 - October 3, 2023
COMMONFUND SECURITIES, INC.
September 28, 2009 - November 20, 2009
SOUTHRIDGE WEALTH MANAGEMENT LLC
September 2, 2008 - December 10, 2009
SOUTHRIDGE INVESTMENT GROUP LLC
December 6, 2007 - September 2, 2008
THE RIDERWOOD GROUP INCORPORATED
September 22, 2006 - October 3, 2008
INNER HARBOR ASSET MANAGEMENT
February 9, 2006 - June 30, 2006
SOUND FINANCIAL ADVISORS
February 19, 1997 - June 25, 1999
SEI INVESTMENTS DISTRIBUTION CO.
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
COMMONFUND SECURITIES, INC.
CRD#: 43541 / SEC#: , 8-50337
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMONFUND HOLDING COMPANY, INC. | SHAREHOLDER | |
| BARD, NANCY KIERNAN | MANAGING DIRECTOR; MEMBER, BOARD OF DIRECTORS | 1324063 |
| CERASUOLO, VIOLETTA | CHIEF COMPLIANCE OFFICER | 5362546 |
| DURRELL, SUSAN KERR | MANAGING DIRECTOR; MEMBER, BOARD OF DIRECTORS | 2945336 |
| HARITON, ANITA LYNNE | PRESIDENT AND CHIEF EXECUTIVE OFFICER; CHAIR, BOARD OF DIRECTORS | 4104946 |
| SPONGBERG, JONATHAN D | TREASURER | 5521666 |
Red Flags
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