William L. Lipsey

PZENA FINANCIAL SERVICES

New York, NY 10022

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CRD#: 1553822

Professional summary

William Louis Lipsey, who also goes by Bill Lipsey, is a registered financial professional currently at PZENA FINANCIAL SERVICES, LLC located in New York, New York.

William is registered as a RR (Registered Representative) and started their career in finance in 1986. William has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bill Lipsey

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) - BD

Click below to view William Louis Lipsey's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

July 21, 2014 - Present

PZENA FINANCIAL SERVICES, LLC

Office #1: 320 Park Avenue 8th Floor, New York, NY 10022Office #2: 320 Park Avenue 8th Floor, New York, NY, 10022

CRD#: 169807

New York, NY

Past

November 10, 2004 - June 16, 2006

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

CRD#: 28262

BOSTON, MA

Past

October 4, 2001 - November 15, 2002

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

February 11, 1999 - October 4, 2001

FIRST FUND DISTRIBUTORS, INC.

CRD#: 27038

PHOENIX, AZ

Past

October 26, 1994 - April 15, 1997

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

May 9, 1990 - November 7, 1994

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

September 24, 1986 - May 9, 1990

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(7/31/2014)

Colorado
(8/15/2014)

Florida
(8/21/2014)

Ohio
(11/3/2016)

Exams

State Security Law Exam

IAR

Series 65

Date: 1/23/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/5/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/21/1987

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/20/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/29/2014

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

PZENA FINANCIAL SERVICES, LLC

CRD#: 169807 / SEC#: , 8-69390

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

320 Park Avenue 8th Floor, New York, NY, 10022

Mailing Address

320 Park Avenue 8th Floor, New York, NY, 10022

Phone number

(212) 355-1600

Established

Delaware since 10/15/2013

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (17 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PZENA INVESTMENT MANAGEMENT LLC	SHAREHOLDER	106847
ARNOLD, VALERIE RENE	CO-HEAD OF NORTH AMERICAN DISTRIBUTION	3257541
COFFEY, STEVEN MARK	CHIEF COMPLIANCE OFFICER	7692630
DORAN, JESSICA RYAN	CFO/FINOP	6406095
LIPSEY, WILLIAM LOUIS	CEO	1553822
TYNDALE, ELIZABETH WEISS	CO-HEAD OF NORTH AMERICAN DISTRIBUTION	2666648

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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Advisor Monitoring

Firm Stability Insights

William L. Lipsey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Louis Lipsey's CRS (Customer Relationship Summary).

Certified licenses

Experience

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

QUASAR DISTRIBUTORS, LLC

FIRST FUND DISTRIBUTORS, INC.

CIBC WORLD MARKETS CORP.

KIDDER, PEABODY & CO. INCORPORATED

MORGAN STANLEY & CO. LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/23/1992

Series 63

Date: 12/5/1986

SIE

Date: 10/1/2018

Series 3

Date: 1/21/1987

Series 7

Date: 9/20/1986

Series 24

Date: 5/29/2014

FINRA

Current Firm

PZENA FINANCIAL SERVICES, LLC

Contact information

FINRA licenses (17 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

PZENA FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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