William M. Snedeker
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 Morris Snedeker, who also goes by Bill Snedeker, William Morris Snedeker, 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 63, Series 55, Series 3, Series 7, Series 6, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 2012 - January 9, 2013
RAFFERTY CAPITAL MARKETS, LLC
May 2, 2005 - September 26, 2011
KNIGHT CAPITAL AMERICAS, L.P.
November 16, 2004 - April 21, 2005
TRADE MANAGE CAPITAL, INC.
September 10, 1991 - July 20, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 12, 1990 - September 7, 1990
CREDIT SUISSE SECURITIES (USA) LLC
April 12, 1988 - November 9, 1988
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 12, 1988 - November 9, 1988
SIGNATOR INVESTORS, 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
Series 55
Date: 10/2/1998
Limited Representative-Equity Trader ExamCurrent Firm
RAFFERTY CAPITAL MARKETS, LLC
CRD#: 23682 / SEC#: , 8-40605
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAFFERTY HOLDINGS, LLC | DIRECT OWNER | |
| HAY, KATHLEEN RAFFERTY | PRESIDENT | 5045127 |
| GOODE, JACQUELINE MARIE | FINOP | 1292607 |
| GOODE, JACQUELINE MARIE | PRINCIPAL FINANCIAL OFFICER | 1292607 |
| JAMES, SHARI | CFO | 7516372 |
| MARTENS, BARBARA LAUDISI | PRINCIPAL OPERATIONS OFFICER | 2992393 |
| MARTENS, BARBARA LAUDISI | CHIEF COMPLIANCE OFFICER | 2992393 |
Disclosures
| Regulatory Event | 6 |
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.
