William A. Gibbs
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 Alton Gibbs III, who also goes by Bill Gibbs III, William Alton III Gibbs, William Alton Gibbs, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1986. William had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2018 - June 7, 2019
SECURITIES SERVICE NETWORK, LLC
September 15, 2004 - June 25, 2018
COMMONWEALTH FINANCIAL NETWORK
September 15, 2004 - June 25, 2018
COMMONWEALTH FINANCIAL NETWORK
July 1, 2003 - October 4, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - October 4, 2004
WELLS FARGO CLEARING SERVICES, LLC
June 4, 2003 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
June 9, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
June 27, 1997 - June 23, 2000
UBS FINANCIAL SERVICES INC.
January 17, 1991 - June 23, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 12, 1990 - January 11, 1991
THE ROBINSON-HUMPHREY COMPANY, LLC
August 28, 1989 - September 11, 1990
LEHMAN BROTHERS INC.
August 21, 1986 - March 16, 1988
E. F. HUTTON & COMPANY INC
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
SECURITIES SERVICE NETWORK, LLC
CRD#: 13318 / SEC#: , 8-28980
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHARE HOLDER | |
| BLANCATO, PHILIP SALVATORE | DIRECTOR | 2122221 |
| GIOVANNIELLO, JOSEPH JR | DIRECTOR | 3086071 |
| GODBEE, CRYSTAL LEE | VICE PRESIDENT OF OPERATIONS | 5629010 |
| KLIMAS, RONALD THOMAS | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2321602 |
| MAAS, JONATHAN ELMER | VICE PRESIDENT, TRADING | 2793069 |
| MCKENNA, NINA | SECRETARY | 6302448 |
| PATEL, JAYAPRAKASH MOHANBHAI | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER | 2973297 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| WILKINSON, WADE SHANNON | PRESIDENT AND CEO | 2312703 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 5 |
| Bond | 1 |
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.
