Billy W. Spain
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.
Billy Wayne Spain, who also goes by Billy Wayne Spain Jr, was a registered financial professional .
Billy is a previously registered financial professional and started their career in finance in 1989. Billy had worked at 5 firms and has passed the Series 63, SIE 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
February 6, 2008 - February 5, 2020
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
August 29, 2005 - October 5, 2007
WALNUT STREET SECURITIES, INC.
April 15, 2003 - September 16, 2003
AMSOUTH INVESTMENT SERVICES, INC.
November 21, 2001 - May 12, 2003
WALNUT STREET SECURITIES, INC.
March 23, 2001 - October 3, 2001
FISERV INVESTOR SERVICES, INC.
May 16, 1996 - March 23, 2001
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
March 2, 1989 - April 22, 1996
VERAVEST INVESTMENTS, 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
Current Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
