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WB

William C. Berry

Some features on this profile are disabled
CRD#: 1631560
WB

Professional summary

William Carl Berry was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

William is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, William had worked at 3 firms, which includes DOMINION CAPITAL CORPORATION, CULLUM & SANDOW SECURITIES INC., AVANTAX INVESTMENT SERVICES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 27, 1994 - September 15, 1998

DOMINION CAPITAL CORPORATION

BD
CRD#: 18837
DALLAS, TX
Past

May 23, 1988 - June 2, 1994

CULLUM & SANDOW SECURITIES, INC.

BD
CRD#: 15836
DALLAS, TX
Past

February 20, 1987 - July 19, 1988

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/19/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/8/1993
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/19/1987
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/6/1993
General Securities Principal Examination

Current Firm

DC
DOMINION CAPITAL CORPORATION
DOMINION CAPITAL CORPORATION

CRD#: 18837 / SEC#: , 8-36989

BD
Revoked by SEC on 05/13/1999
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 10/31/1986
Firm type
Corporation
Fiscal year end
December
# of Employees

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.

Company Information

DOMINION CAPITAL CORPORATION

CRD#: 18837

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