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WN

William G. Naphin

R.J. O'BRIEN SECURITIES
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 1915115
WN

Professional summary

William G Naphin is a registered financial professional currently at R.J. O'BRIEN SECURITIES, LLC located in Chicago, Illinois.

William is registered as a RR (Registered Representative) and started their career in finance in 2004. William has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view William G Naphin's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

November 17, 2016 - Present

R.J. O'BRIEN SECURITIES, LLC

Office #1: 222 South Riverside Plaza, Suite 1200, Chicago, IL 60606Office #2: 222 South Riverside Plaza, Suite 1200, Chicago, IL 60606
BD
CRD#: 143624
Chicago, IL
Past

March 15, 2012 - December 23, 2014

TP ICAP GLOBAL MARKETS AMERICAS LLC

BD
CRD#: 2762
CHICAGO, IL
Past

May 21, 2008 - December 8, 2011

MF GLOBAL INC.

BD
CRD#: 6731
CHICAGO, IL
Past

April 20, 2004 - April 25, 2008

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
CHICAGO, IL

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
RR
Series 63
Date: 7/1/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/19/2004
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RO
R.J. O'BRIEN SECURITIES, LLC
R.J. O'BRIEN SECURITIES, INC. | R.J. O'BRIEN SECURITIES, LLC

CRD#: 143624 / SEC#: , 8-67587

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
222 South Riverside Plaza, Suite 1200, Chicago, IL 60606
Mailing Address
222 South Riverside Plaza Suite 1200, Chicago, IL 60606
Phone number
(312) 373-5000
Established
Delaware since 06/28/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (30 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
JVMC HOLDINGS CORPSHAREHOLDER
CHO, DAIHEEFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER7424437
GABRIELE, JAMES ANDREWLLC BOARD OF MANAGERS2694460
RUCCI, HEATHERLLC BOARD OF MANAGERS5474878
SZEKELY, GIGICHIEF COMPLIANCE OFFICER2530826

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.

Company Information

R.J. O'BRIEN SECURITIES, LLC

CRD#: 143624Chicago, IL 60606

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