William B. Sanders
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 Brian Sanders, who also goes by William B Sanders, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1986. William had worked at 6 firms and has passed the Series 63 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
June 29, 1990 - October 22, 1990
RODMAN & RENSHAW INC.
December 19, 1989 - August 2, 1990
CIBC WORLD MARKETS CORP.
January 30, 1989 - January 3, 1990
CITIGROUP GLOBAL MARKETS INC.
April 11, 1988 - February 9, 1989
LEHMAN BROTHERS INC.
July 1, 1987 - April 11, 1988
E. F. HUTTON & COMPANY INC
August 19, 1986 - June 5, 1987
UBS FINANCIAL SERVICES 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
RODMAN & RENSHAW INC.
CRD#: 724 / SEC#: , 8-15366
Contact information
Documents
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.
