William B. Gano
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 Brad Gano, who also goes by Brad Gano, W Brad Gano, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1987. William had worked at 7 firms and has passed the Series 66, Series 63, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2010 - November 26, 2012
CREDIT AGRICOLE SECURITIES (USA) INC.
January 27, 2010 - July 9, 2010
SUMMIT EQUITIES, INC.
January 15, 2009 - July 9, 2010
SUMMIT EQUITIES, INC.
December 21, 1997 - April 27, 2000
CREDIT AGRICOLE SECURITIES (USA) INC.
December 4, 1996 - November 14, 1997
CIBC WORLD MARKETS CORP.
November 23, 1994 - October 31, 1996
NOMURA SECURITIES INTERNATIONAL, INC.
June 22, 1989 - November 17, 1994
SALOMON BROTHERS INC.
July 25, 1987 - June 26, 1989
MORGAN STANLEY MARKET PRODUCTS INC.
January 8, 1987 - June 26, 1989
MORGAN STANLEY & CO. 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
CREDIT AGRICOLE SECURITIES (USA) INC.
CRD#: 190 / SEC#: , 8-13753
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CREDIT AGRICOLE GLOBAL PARTNERS INC. ("CAGPI") | SHAREHOLDER | |
| ARNAL, CELINE | DIRECTOR | 7247072 |
| GEROLD, MARIA TERESA | CFO | 5967881 |
| HETIER, FRANCOIS-EDOUARD MARIE MARC | DIRECTOR | 7817148 |
| KURZ, WILLIAM FRANK | MEMBER OF THE BOARD OF DIRECTORS AND COO | 7602164 |
| PUBLIE, STEPHANE | INTERIM CEO AND MEMBER OF THE BOARD OF DIRECTORS | 5978052 |
| YOUN, EDWARD KYUNG-HO | CHIEF COMPLIANCE OFFICER | 6723958 |
| ZAFAR, KASHIF | MANAGING DIRECTOR | 2666642 |
Disclosures
| Regulatory Event | 18 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
