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William James Dombek

CRD# 1918703·Registered 1990 - 2017
Previously Registered: Being a previously registered professional could mean that William 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.

Professional Summary

William James Dombek was a registered financial advisor. William was a previously registered financial professional and started their career in finance 1990 - 2017. William had worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

37 years in the financial services industry

Current & Past Employments

FOX CHASE CAPITAL PARTNERS, LLC·CRD# 104087
BD
Springfield, NJ
February 2, 2016 - November 27, 2017
BNY MELLON CAPITAL MARKETS, LLC·CRD# 17454
BD
New York, NY
April 30, 2008 - April 29, 2014
BNY CAPITAL MARKETS INC.·CRD# 18303
BD
New York, NY
October 12, 2005 - April 30, 2008
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.·CRD# 102920
BD
New York, NY
July 5, 2001 - February 15, 2005
MUFG SECURITIES AMERICAS INC.·CRD# 19685
BD
May 30, 1990 - July 2, 1993

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Current Firm

FC
FOX CHASE CAPITAL PARTNERS, LLC

FOX CHASE CAPITAL PARTNERS, LLC

CRD#: 104087 / SEC#: 8-52624
BD
Terminated by SEC on 12/24/2023

Contact Information

Established

New Jersey since 03/06/2000

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
ROCKONKNV LLCDIRECT OWNER—
MANZO, MARK THOMASFINOP1229739
PERRETTI, VICTOR JRCEO711988
PERRETTI, VICTOR JRCCO711988

Disclosures

Regulatory Event

3

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 2001About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Nov 2017About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Apr 1995About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Jan 1989About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jun 2001About the Series 24 exam

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CRS (Client Relationship Summary)

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

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