William M. Tarpley
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 Melvin Tarpley, who also goes by Bill Tarpley, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1987. William had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 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
August 30, 2019 - January 4, 2021
PER STIRLING CAPITAL MANAGEMENT, LLC
August 30, 2019 - January 4, 2021
B.B. GRAHAM & COMPANY, INC.
August 2, 2011 - September 3, 2019
VOYA FINANCIAL ADVISORS, INC.
August 1, 2011 - September 3, 2019
VOYA FINANCIAL ADVISORS, INC.
July 1, 2010 - August 2, 2011
M HOLDINGS SECURITIES, INC.
July 1, 2010 - August 2, 2011
M HOLDINGS SECURITIES, INC.
May 25, 1995 - July 7, 2010
NEW ENGLAND SECURITIES
May 25, 1995 - July 7, 2010
NEW ENGLAND SECURITIES
September 15, 1987 - May 16, 1995
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
PER STIRLING CAPITAL MANAGEMENT, LLC
CRD#: 151671 / SEC#: 801-70707
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
PER STIRLING CAPITAL MANAGEMENT, LLC
CRD#: 151671 / SEC#: 801-70707
Contact information
SEC notice filing (21 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,584 |
| AUM (Assets Under Management) | $ 1,387,216,441 |
Red Flags
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