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WJ

William H. Jennings

Some features on this profile are disabled
CRD#: 1748782
WJ

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 Harold Jennings II, who also goes by Bill Jennings, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1992. William had worked at 8 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 3 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bill Jennings

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 24, 2020 - August 18, 2021

ASHTON STEWART & CO., INC.

BD
CRD#: 112386
MIAMI, FL
Past

March 20, 2017 - February 28, 2018

HUNT FINANCIAL SECURITIES

BD
CRD#: 169919
Rye Brook, NY
Past

April 24, 2012 - June 3, 2013

JEFFERIES HIGH YIELD TRADING, LLC

BD
CRD#: 47363
STAMFORD, CT
Past

June 12, 2008 - February 19, 2014

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

April 20, 2004 - March 24, 2008

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
GREENWICH, CT
Past

April 15, 1992 - July 18, 1994

LEHMAN SPECIAL SECURITIES INC.

BD
CRD#: 7242
Past

April 15, 1992 - October 23, 1995

LEHMAN GOVERNMENT SECURITIES INC.

BD
CRD#: 19655
Past

April 15, 1992 - March 30, 2004

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/11/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/23/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/28/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/20/2017
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 11/12/1992
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/23/2024
General Securities Principal Examination

Current Firm

AS
ASHTON STEWART & CO., INC.
ASHTON STEWART & CO., INC. | VANTAGE SECURITIES, INC. | MAS TRADE.NET INC. | MAS CAPITAL SECURITIES, INC.

CRD#: 112386 / SEC#: , 8-53239

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
1395 Brickell Ave Suite 800, Miami, FL 33131
Mailing Address
1395 Brickell Ave Suite 800, Miami, FL 33131
Phone number
(646) 868-5410
Established
Indiana since 09/27/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (46 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ASHTON STEWART INTERNATIONAL HOLDINGS, LLCSHAREHOLDER
BURMAN, ANATOLYCEO/CCO1652002

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.

Company Information

ASHTON STEWART & CO., INC.

CRD#: 112386

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