William J. Maze
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 John Maze, who also goes by William Maze, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1988. William had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 16 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 3, 2019 - April 23, 2020
SOLEBURY CAPITAL LLC
August 29, 2018 - May 1, 2019
J.P. MORGAN SECURITIES LLC
August 2, 2018 - May 1, 2019
J.P. MORGAN SECURITIES LLC
March 3, 2003 - July 18, 2005
NEUBERGER BERMAN BD LLC
February 24, 1998 - March 3, 2003
BANC OF AMERICA SECURITIES LLC
March 7, 1996 - March 3, 1998
CITIGROUP GLOBAL MARKETS INC.
May 2, 1988 - February 7, 1991
UBS FINANCIAL SERVICES INC.
April 19, 1988 - May 25, 1988
DAVID LERNER ASSOCIATES, 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
SOLEBURY CAPITAL LLC
CRD#: 143299 / SEC#: , 8-67548
Contact information
FINRA licenses (8 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC BANK, NATIONAL ASSOCIATION | PARENT | |
| COHN, VICTOR ALLAN | CHAIRMAN, CHIEF OPERATING OFFICER | 808136 |
| EARLING, DAVID CRISTOFORI | MANAGING DIRECTOR | 2534818 |
| HATFIELD, EDWARD RIDGWAY | CHIEF EXECUTIVE OFFICER | 1781580 |
| IM, YOULREE | CHIEF ADMINISTRATIVE OFFICER | 5195473 |
| JACOBY, MATTHEW R | CHIEF COMPLIANCE OFFICER | 5720650 |
| LONG, GEORGE PHILLIP MR. | CHIEF LEGAL OFFICER | 5094038 |
| ROHALY, JEFFREY P | FINANCIAL OPERATIONS PRINCIPAL, PFO, POO | 4588188 |
| WILLIAMS, JULIE | VICE PRESIDENT | 6040587 |
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.
