William D. Hall
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 Dean Hall was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1989. William had worked at 8 firms and has passed the Series 63, Series 7 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2002 - May 1, 2002
PHD CAPITAL
June 20, 2001 - July 17, 2001
ANDREW, ALEXANDER, WISE & COMPANY INCORPORATED
May 29, 2000 - July 31, 2000
GRAYSON FINANCIAL LLC
September 29, 1999 - March 28, 2000
LADENBURG THALMANN & CO. INC.
July 30, 1999 - August 19, 1999
CARNEGIE INVESTOR SERVICES INC.
June 8, 1999 - June 30, 1999
KEATON FINANCIAL SERVICES, INC.
November 17, 1997 - April 17, 1998
M.S. FARRELL & COMPANY, INC.
November 3, 1989 - December 17, 1989
THE STUART-JAMES COMPANY, INCORPORATED
July 13, 1989 - August 29, 1989
THE STUART-JAMES COMPANY, 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 62
Date: 7/12/1989
Corporate Securities Limited Representative ExaminationCurrent Firm
PHD CAPITAL
CRD#: 38785 / SEC#: , 8-48403
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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.
