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WS

William W. Sprague

CAPSTONE PARTNERS
BOSTON, MA 02109
Some features on this profile are disabled
CRD#: 1777052
WS

Professional summary

William Whitney Sprague, who also goes by Bill Sprague, is a registered financial professional currently at CAPSTONE PARTNERS located in Boston, Massachusetts.

William is registered as a RR (Registered Representative) and started their career in finance in 1987. William has worked at 9 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bill Sprague

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) - BD

Click below to view William Whitney Sprague's CRS (Customer Relationship Summary).

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

Current

May 15, 2018 - Present

CAPSTONE PARTNERS

Office #1: 10 Post Office Square Suite 800n, Boston, MA 02109
BD
CRD#: 132185
BOSTON, MA
Past

May 11, 2015 - November 14, 2018

HEADWATERS BD, LLC

BD
CRD#: 117042
DENVER, CO
Past

March 7, 2012 - December 31, 2015

SOURCE CAPITAL GROUP, INC.

BD
CRD#: 36719
NEW YORK, NY
Past

November 15, 2011 - March 5, 2012

GLC SECURITIES CORP.

BD
CRD#: 38337
NEW YORK, NY
Past

December 1, 2009 - September 30, 2011

MADISON WILLIAMS AND COMPANY

BD
CRD#: 149530
NEW YORK, NY
Past

May 27, 2004 - December 16, 2009

SANDERS MORRIS LLC

BD
CRD#: 20580
NEW YORK, NY
Past

September 9, 2003 - August 30, 2004

CREST EVERGREEN SECURITIES, INC.

BD
CRD#: 37868
NEW YORK, NY
Past

March 31, 1998 - August 6, 2002

CREST EVERGREEN SECURITIES, INC.

BD
CRD#: 37868
NEW YORK, NY
Past

April 24, 1989 - March 12, 1996

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

December 22, 1987 - March 10, 1989

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Colorado
(5/16/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 9/8/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/28/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/30/2003
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CP
CAPSTONE PARTNERS
CAPSTONE CAPITAL MARKETS LLC | CAPSTONE PARTNERS | CAPSTONE HEADWATERS

CRD#: 132185 / SEC#: , 8-66572

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

Main Address
10 Post Office Square Suite 800n, Boston, MA 02109
Mailing Address
10 Post Office Square Suite 800n, Boston, MA 02109
Phone number
(617) 619-3300
Established
Delaware since 04/08/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (18 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CAPSTONE CORPORATE FINANCE LLCDIRECT OWNER
BEEKMAN, TODD ANDREWDIRECTOR6291198
CASPER, MARK VERNON JR.CHIEF FINANCIAL OFFICER6682711
FERRARA, JOHN MARIO IIPRESIDENT2097226
JANSON, PAUL EDWARDDIRECTOR4992234
KLEINMAN, SCOTT DAVIDDIRECTOR2357636
MILCETICH, MATTHEW LOUISEXECUTIVE MANAGING DIRECTOR6419334
SZWAGULAK, JOHNCHIEF COMPLIANCE OFFICER4033023
VALDIVIA, SERENAAML OFFICER7790899

Disclosures

Regulatory Event1

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

CAPSTONE PARTNERS

CRD#: 132185Boston, MA 02109

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