William A. Monness
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 Andrew Monness was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1987. William had worked at 4 firms and has passed the Series 63, SIE, Series 87, Series 55, Series 7, Series 4, Series 27 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 7, 1998 - April 7, 2017
DEMATTEO RESEARCH LLC
July 17, 1997 - August 4, 1998
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
March 1, 1988 - July 21, 1997
MONNESS CRESPI HARDT & CO., INC.
May 21, 1987 - December 21, 1987
LADENBURG THALMANN & CO. 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
Series 55
Date: 12/3/1998
Limited Representative-Equity Trader ExamCurrent Firm
DEMATTEO RESEARCH LLC
CRD#: 43741 / SEC#: , 8-50395
Contact information
FINRA licenses (5 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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