William F. Ficca
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 Ficca was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1988. William had worked at 11 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 2022 - July 10, 2023
FINALIS SECURITIES LLC
June 22, 2020 - August 5, 2022
BCW SECURITIES LLC
March 29, 2018 - July 5, 2018
R.W.PRESSPRICH & CO.
March 2, 2009 - February 1, 2017
SEAPORT GLOBAL SECURITIES LLC
October 8, 2004 - March 5, 2009
BANC OF AMERICA SECURITIES LLC
December 9, 1991 - November 3, 1999
CONSECO EQUITY SALES, INC.
May 30, 1991 - September 17, 1991
UBS SECURITIES LLC
April 30, 1991 - July 1, 1991
CEDAR STREET SECURITIES CORP.
March 21, 1991 - April 30, 1991
MABON, NUGENT & CO.
February 13, 1990 - January 7, 1991
CREDIT SUISSE SECURITIES (USA) LLC
May 25, 1988 - May 4, 1989
SALOMON BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINALIS, INC. | HOLDING COMPANY | |
| AZARY, DENNIS MICHAEL | CEO/CCO/FINOP | 2384263 |
Red Flags
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