Billy D. Maddox
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.
Billy Douglas Maddox JR, who also goes by Bill D. Maddox, Bill Douglas Maddox Jr, Billy Douglas (jr) Maddox, Billy Maddox, was a registered financial advisor .
Billy is a previously registered financial advisor and started their career in finance in 1987. Billy had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 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
January 27, 2017 - December 31, 2019
KMS FINANCIAL SERVICES, INC.
February 14, 2005 - December 23, 2016
SCF SECURITIES, INC.
December 19, 1997 - August 25, 2003
FOOTHILL SECURITIES, INC.
August 1, 1994 - August 25, 2003
FOOTHILL SECURITIES, INC.
August 23, 1993 - July 13, 1994
CETERA WEALTH SERVICES, LLC
March 30, 1993 - December 1, 1993
FSC SECURITIES CORPORATION
November 23, 1990 - March 17, 1993
CETERA WEALTH SERVICES, LLC
January 22, 1987 - August 28, 1989
PRUCO SECURITIES, LLC.
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
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
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.
