William H. Irving

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CRD#: 1541064

Professional summary

William Howard Irving was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

William is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, William had worked at 7 firms, which includes LEERINK PARTNERS LLC, OPPENHEIMER & CO. INC., CIBC WORLD MARKETS CORP., GRUNTAL & CO. L.L.C., CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC., J.P. MORGAN SECURITIES LLC.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 28, 2006 - January 19, 2010

LEERINK PARTNERS LLC

CRD#: 39011

BOSTON, MA

Past

January 3, 2003 - March 29, 2006

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

April 28, 1999 - January 3, 2003

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

June 16, 1994 - April 28, 1999

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

July 31, 1993 - June 6, 1994

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

May 14, 1992 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

November 21, 1989 - May 6, 1992

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

September 16, 1986 - December 13, 1989

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/11/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/25/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/16/1986

General Securities Representative Examination

Current Firm

LEERINK PARTNERS LLC

CRD#: 39011 / SEC#: 801-68264, 8-48535

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

53 State Street 40th Floor, Boston, MA, 02109

Mailing Address

53 State Street 40th Floor 40th Floor, Boston, MA, 02109

Phone number

(617) 918-4900

Established

Delaware since 07/19/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

LEERINK ADV PART 2A 03 2012 (3/24/2012)

LEERINK WRAP BROCHURE 03 2012 (3/24/2012)

Direct owners and executive officers

Name	Position	CRD#
LEERINK INTERMEDIATE HOLDINGS LLC	MEMBER
CASEY, KEVIN MICHAEL	CHIEF COMPLIANCE OFFICER	4754440
DAVIDSON, THOMAS ADAM	SENIOR MANAGING DIRECTOR	2248233
DUBIN, DANIEL BARRY	SENIOR MANAGING DIRECTOR	3231063
GENTILE, JOSEPH ROBERT	CHIEF ADMINISTRATIVE OFFICER	2545927
HEINEMAN, STEVEN P	GENERAL COUNSEL	5386950
JURKIEWICZ, GREGG MARTIN	FINOP	4440135
LEERINK, JEFFREY ALAN	CEO	1718986
OLSON, ERIC PATRICK	PRINCIPAL OPERATIONS OFFICER	2542584

Disclosures

Regulatory Event

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.

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William H. Irving

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OPPENHEIMER & CO. INC.

CIBC WORLD MARKETS CORP.

GRUNTAL & CO., L.L.C.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

J.P. MORGAN SECURITIES LLC

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/11/2008

Series 63

Date: 8/25/1986

Series 7

Date: 8/16/1986

Current Firm

LEERINK PARTNERS LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

LEERINK PARTNERS LLC

TRUST BUT VERIFY

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