William C. Squires

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CRD#: 1868008

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 Charles Squires, who also goes by Bill Squires, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1990. William had worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bill Squires

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 29, 2016 - October 3, 2018

HENLEY & COMPANY LLC

CRD#: 131453

UNIONDALE, NY

Past

July 30, 2013 - October 6, 2014

CAPITAL INVESTMENT GROUP, INC.

CRD#: 14752

SYOSSET, NY

Past

April 26, 2001 - May 14, 2001

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

January 12, 2001 - February 6, 2001

1ST FREEDOM SECURITIES, LLC

CRD#: 104202

WESTBURY, NY

Past

May 24, 2000 - October 10, 2000

SALOMON GREY FINANCIAL CORPORATION

CRD#: 43413

DALLAS, TX

Past

August 31, 1999 - May 22, 2000

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

January 4, 1999 - September 10, 1999

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

April 24, 1995 - January 4, 1999

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

October 8, 1992 - May 11, 1995

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

November 14, 1991 - October 20, 1992

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

March 20, 1990 - November 25, 1991

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 3/28/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/30/2013

General Securities Representative Examination

Current Firm

HENLEY & COMPANY LLC

CRD#: 131453 / SEC#: , 8-66463

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

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Contact information

Main Address

506 Rxr Plaza, Uniondale, NY 11556

Mailing Address

506 Rxr Plaza, Uniondale, NY 11556

Phone number

(516) 794-5520

Established

New York since 03/30/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
GEMINO, FRANCIS PATRICK	PRESIDENT; CEO; MANAGING MEMBER	219616
ALBANESE, JAMES JOSEPH	SENIOR VICE PRESIDENT, ROSFP	1699997
FORTINO, ROBERT ANTHONY	FINOP	1905741
GERMANO-ALESSI, MARIA TERESA	CHIEF COMPLIANCE OFFICER	4404986
LADERER, MICHAEL JOHN	MANAGING DIRECTOR	1436877

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.

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Advisor Monitoring

Firm Stability Insights

William C. Squires

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPITAL INVESTMENT GROUP, INC.

CHASE INVESTMENT SERVICES CORP.

1ST FREEDOM SECURITIES, LLC

SALOMON GREY FINANCIAL CORPORATION

OPPENHEIMER & CO. INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

ROBERT THOMAS SECURITIES, INC

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/28/1990

SIE

Date: 10/1/2018

Series 7

Date: 7/30/2013

Current Firm

HENLEY & COMPANY LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

HENLEY & COMPANY LLC

TRUST BUT VERIFY

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