William F. Catranbone
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 Francis Catranbone was a registered financial advisor .
William is a previously registered financial advisor and started their career in finance in 1988. William had worked at 15 firms and has passed the Series 66, Series 65, Series 63, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2007 - June 17, 2009
1ST DISCOUNT BROKERAGE, INC.
December 15, 2006 - June 17, 2009
1ST DISCOUNT BROKERAGE, INC.
February 24, 2006 - September 5, 2006
1ST DISCOUNT BROKERAGE, INC.
January 13, 2001 - September 12, 2002
DEUTSCHE BANK SECURITIES INC.
December 10, 1999 - January 13, 2001
DB ALEX. BROWN LLC
December 22, 1997 - December 17, 1999
RAYMOND JAMES & ASSOCIATES, INC.
December 19, 1996 - January 6, 1998
1ST DISCOUNT BROKERAGE, INC.
January 15, 1996 - January 7, 1997
ALEX. BROWN & SONS INCORPORATED
May 2, 1994 - January 16, 1996
MORGAN STANLEY DW INC.
January 3, 1994 - June 1, 1994
JWGENESIS SECURITIES, INC.
October 23, 1992 - January 3, 1994
JW GENESIS CLEARING CORP.
October 22, 1991 - October 29, 1992
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
May 22, 1991 - October 21, 1991
UBS FINANCIAL SERVICES INC.
November 19, 1990 - May 30, 1991
CIBC WORLD MARKETS CORP.
May 31, 1989 - June 12, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 31, 1989 - November 30, 1990
GLOBAL AMERICA INCORPORATED
January 3, 1989 - April 10, 1989
JOSEPHTHAL & CO., INC.
December 20, 1988 - September 13, 1989
MARKETFIELD SECURITIES LIMITED
Primary Firm SEC Registration
1ST DISCOUNT BROKERAGE, INC.
CRD#: 39164 / SEC#: 801-132978, 8-48557
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
1ST DISCOUNT BROKERAGE, INC.
CRD#: 39164 / SEC#: 801-132978, 8-48557
Contact information
SEC notice filing (10 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 346 |
| AUM (Assets Under Management) | $ 108,117,119 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
