William J. Davis
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 James Davis, who also goes by Dub Davis, 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 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2000 - March 12, 2003
FREEDOM FINANCIAL, INC.
April 10, 2000 - November 28, 2000
INTERFIRST CAPITAL CORPORATION
November 18, 1999 - April 10, 2000
SAN CLEMENTE SECURITIES, INC.
October 7, 1999 - October 21, 1999
SAN CLEMENTE SECURITIES, INC.
July 21, 1989 - October 23, 1992
SECURITIES AMERICA, INC.
March 18, 1988 - July 29, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
July 7, 1987 - March 23, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 7, 1987 - March 28, 1988
EQUITABLE ADVISORS, 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
FREEDOM FINANCIAL, INC.
CRD#: 45850 / SEC#: , 8-51211
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
