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WQ

William M. Quigley

Some features on this profile are disabled
CRD#: 1968265
WQ

Professional summary

William Michael Quigley was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

William is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, William had worked at 7 firms, which includes TRIDENT PARTNERS LTD., JOSEPH STEVENS & CO. INC., WIN CAPITAL CORP., LADENBURG CAPITAL MANAGEMENT INC., BENJAMIN SECURITIES INC., APEX CLEARING CORPORATION, QUICK & REILLY INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bill Quigley | Quigley

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)

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

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

Past

October 17, 2007 - September 5, 2014

TRIDENT PARTNERS LTD.

BD
CRD#: 41258
WOODBURY, NY
Past

October 3, 2005 - October 19, 2007

JOSEPH STEVENS & CO., INC.

BD
CRD#: 35459
NEW YORK, NY
Past

June 14, 2004 - September 26, 2005

TRIDENT PARTNERS LTD.

BD
CRD#: 41258
WOODBURY, NY
Past

October 20, 2003 - June 15, 2004

JOSEPH STEVENS & CO., INC.

BD
CRD#: 35459
BROOKLYN, NY
Past

August 14, 2002 - September 10, 2003

WIN CAPITAL CORP.

BD
CRD#: 36172
BAYVILLE, NY
Past

April 29, 2002 - August 9, 2002

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY
Past

December 13, 1999 - April 26, 2002

BENJAMIN SECURITIES, INC.

BD
CRD#: 7754
PENSACOLA, FL
Past

October 15, 1991 - June 11, 1999

APEX CLEARING CORPORATION

BD
CRD#: 13071
DALLAS, TX
Past

July 27, 1989 - October 22, 1991

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY

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: 7/28/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 9/6/2002
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 7/15/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/18/2001
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 3/13/2001
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 6/3/1997
General Securities Sales Supervisor Examination (Options Module & General Module)
Principal/Supervisory Exam
RR
Series 4
Date: 3/19/1997
Registered Options Principal Examination

Current Firm

TP
TRIDENT PARTNERS LTD.
THE KOENIGSBERG ORGANIZATION | TRIDENT PARTNERS, LTD. | TRIDENT PARTNERS LTD.

CRD#: 41258 / SEC#: , 8-49342

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

Main Address
181 Crossways Park Drive, Woodbury, NY 11797
Mailing Address
181 Crossways Park Drive, Woodbury, NY 11797
Phone number
(516) 681-9100
Established
New York since 05/17/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 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#
MEKA ASSOCIATES, LLCDIRECT OWNER
CERINI, MICHELLE C.CHIEF FINANCIAL OFFICER - FINANCIAL OPERATIONS PRINCIPAL4752108
FLYNN, EDWARD PATRICK SRMANAGING DIRECTOR1914535
SCAVONE, NICHOLASCHIEF COMPLIANCE OFFICER4677020
SCHANTZ, BRIAN FRANCISPRESIDENT1232754

Disclosures

Regulatory Event5
Arbitration4

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

TRIDENT PARTNERS LTD.

CRD#: 41258

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