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WA

William C. Atherton

GULFSTAR GROUP I, LTD.
Houston, TX 77002
Some features on this profile are disabled
CRD#: 1954123
WA

Professional summary

William Clifford Atherton JR, who also goes by Cliff Atherton, William C Atherton, William Clifford Atherton, is a registered financial professional currently at GULFSTAR GROUP I, LTD. located in Houston, Texas.

William is registered as a RR (Registered Representative) and started their career in finance in 1989. William has worked at 3 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cliff Atherton | William C Atherton | William Clifford Atherton

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 Clifford Atherton JR's 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

October 17, 1995 - Present

GULFSTAR GROUP I, LTD.

Office #1: 700 Louisiana Street Ste 3800, Houston, TX 77002
BD
CRD#: 28922
Houston, TX
Past

September 2, 1992 - October 2, 1995

HAMILTON CLARK SUSTAINABLE CAPITAL, INC.

BD
CRD#: 26010
WASHINGTON, DC
Past

May 23, 1989 - February 15, 1990

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(2/28/1996)
RR
Texas
(1/5/1996)

Exams

State Security Law Exam
RR
Series 63
Date: 7/31/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/28/1992
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

GG
GULFSTAR GROUP I, LTD.
GULFSTAR GROUP I, LTD. | THE GULFSTAR GROUP,INC.

CRD#: 28922 / SEC#: , 8-43999

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

Main Address
700 Louisiana Street Ste 3800, Houston, TX 77002
Mailing Address
700 Louisiana St Ste 3800, Houston, TX 77002
Phone number
(713) 300-2010
Established
Texas since 07/11/2000
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (21 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
GULFSTAR HOLDINGS, INC.LIMITED PARTNER
IBC SUBSIDIARY CORPORATIONLIMITED PARTNER
GULFSTAR GROUP GP, LLCGENERAL PARTNER
LUEDDE, FULLERTON W IIIPRESIDENT/CCO/CEO3218204

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

GULFSTAR GROUP I, LTD.

CRD#: 28922Houston, TX 77002

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