William B. Sanders
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 Barlow Sanders, who also goes by Bart Sanders, William Barlow Sanders III, William Barlow Sanders, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1991. William had worked at 4 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, Series 57TO, Series 7TO, SIE, Series 55, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2014 - January 21, 2021
GROVE POINT INVESTMENTS, LLC
December 7, 2012 - May 31, 2013
QUASAR DISTRIBUTORS, LLC
December 13, 2005 - November 7, 2012
FBR INVESTMENT SERVICES, INC.
April 29, 1991 - December 6, 2005
B. RILEY SECURITIES, INC.
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 52TO
Date: 2/14/2024
Municipal Securities Representative ExaminationSeries 99TO
Date: 2/14/2024
Operations Professional ExaminationSeries 57TO
Date: 2/14/2024
Securities Trader ExamSeries 7TO
Date: 11/23/2022
General Securities Representative ExaminationSeries 55
Date: 3/17/2000
Limited Representative-Equity Trader ExamCurrent Firm
GROVE POINT INVESTMENTS, LLC
CRD#: 1763 / SEC#: 801-undefined, 8-31165
Contact information
FINRA licenses (4 States and Territories)
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
| Bond | 1 |
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.
