William S. Bender
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 Steudel Bender JR was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1969. William had worked at 4 firms and has passed the Series 65, Series 63, PC, Series 1 and F04 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2010 - January 2, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 20, 2010 - January 2, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 13, 1999 - January 14, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 21, 1991 - January 14, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 21, 1977 - April 11, 1991
VALLEY FORGE ASSET MANAGEMENT, LLC
May 27, 1975 - June 6, 1976
LINCOLN FINANCIAL DISTRIBUTORS, INC.
April 17, 1973 - December 3, 1973
DREXEL BURNHAM LAMBERT INCORPORATED
October 30, 1969 - July 2, 1973
VALLEY FORGE ASSET MANAGEMENT, LLC
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
PC
Date: 8/12/1992
AMEX Put and Call ExamSeries 1
Date: 9/22/1969
Registered Representative ExaminationF04
Date: 2/25/1980
Financial Principal ExaminationCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
