William F. Albin
Professional summary
William Ferrell Albin was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William Ferrell Albin, who also goes by Bill Albin, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1987. William had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2015 - July 27, 2016
WADDELL & REED
April 23, 2015 - July 27, 2016
WADDELL & REED
January 2, 2015 - May 8, 2015
MSI FINANCIAL SERVICES, INC.
January 2, 2015 - May 8, 2015
MSI FINANCIAL SERVICES, INC.
December 21, 2011 - January 2, 2015
NEW ENGLAND SECURITIES
December 16, 2011 - January 2, 2015
NEW ENGLAND SECURITIES
June 8, 2006 - December 20, 2011
WEDBUSH SECURITIES INC.
February 11, 2003 - December 20, 2011
WEDBUSH SECURITIES INC.
March 9, 2002 - March 11, 2003
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 11, 2003
RBC CAPITAL MARKETS, LLC
August 26, 1996 - March 9, 2002
SUTRO & CO. INCORPORATED
July 31, 1993 - August 29, 1996
CITIGROUP GLOBAL MARKETS INC.
April 11, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
December 23, 1987 - April 11, 1988
E. F. HUTTON & COMPANY INC
September 24, 1987 - January 9, 1988
BLINDER, ROBINSON & 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
Current Firm
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
Red Flags
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