William Paul Behrens
Professional Summary
William Paul Behrens is a registered financial advisor currently at R. F. LAFFERTY & CO., INC. located in New York, New York. William is registered as a RR (Registered Representative) and started their career in finance in 1965. William has worked at 5 firms and has passed the Series 63, Series 99TO, Series 79TO, Series 7TO, SIE, Series 1, Series 24, Series 4 and Series 40 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
66 years in the financial services industry
Current & Past Employments
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Current Firm
CLEARTHINK SECURITIES | VENTURE CAPITAL CROSS | TOGETHER FORWARD CAPITAL | SCARSDALE GROUP | R. F. LAFFERTY & CO., INC. | ONEILLORICOLICORP | KERN SUSLOW | FULCRUM GROUP | DPR WEALTH MANAGEMENT
Contact Information
Main Address
40 Wall Street Suite 3602, New York, NY 10005Mailing Address
40 Wall Street Suite 3602, New York, NY 10005Phone Number
(212) 293-9090Established
New York since 05/21/1976Firm Type
CorporationFiscal Year End
JuneFirm Size
Small# of Employees
80SEC notice filing (19 States and Territories)
Registered to provide investment advisory services in 19 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 19 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HACKEL, ROBERT MATTHEW | CEO | 2626413 |
| CROCKETT, RICHARD HUNT | CHIEF COMPLIANCE OFFICER | — |
Regulatory Assets Under Management
Total Number of Accounts
185AUM (Assets Under Management)
$129,823,421Disclosures
Regulatory Event
5Arbitration
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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.
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Primary Firm SEC Registration
CLEARTHINK SECURITIES | VENTURE CAPITAL CROSS | TOGETHER FORWARD CAPITAL | SCARSDALE GROUP | R. F. LAFFERTY & CO., INC. | ONEILLORICOLICORP | KERN SUSLOW | FULCRUM GROUP | DPR WEALTH MANAGEMENT
State Registrations and Notice Filings
(10/21/2015)
(7/12/2017)
(2/26/2026)
(11/2/2015)
(10/21/2015)
(2/18/2016)
(12/24/2015)
(12/24/2015)
(7/13/2017)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 1 — Registered Representative Examination
Passed Mar 1960Series 40 — Registered Principal Examination
Passed Jul 1976SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view William Paul Behrens's CRS (Customer Relationship Summary).
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