William S. Townsend
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 Seiffert Townsend, who also goes by Bill Townsend, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1989. William had worked at 3 firms and has passed the Series 65, Series 63, Series 7, Series 53, Series 28, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 1996 - February 27, 2006
IBC INVESTMENTS
October 18, 1989 - February 26, 1996
RAUSCHER PIERCE REFSNES, INC.
January 5, 1989 - October 11, 1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED
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 28
Date: 6/17/1996
Introducing Broker/Dealer Financial Operations Principal ExaminationSeries 8
Date: 5/20/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
IBC INVESTMENTS
CRD#: 40286 / SEC#: , 8-49056
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
