William F. Herndon
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 Franklin Herndon, who also goes by Bill Herndon, was a registered financial advisor .
William is a previously registered financial advisor and started their career in finance in 1989. William had worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2004 - November 17, 2005
ARCHER ALEXANDER SECURITIES CORPORATION
January 8, 2002 - April 13, 2004
MORGAN STANLEY DW INC.
September 18, 2001 - April 13, 2004
MORGAN STANLEY DW INC.
April 29, 1999 - October 11, 2001
STIFEL, NICOLAUS & COMPANY, INCORPORATED
May 8, 1998 - May 5, 1999
FROGGATTE & COMPANY
February 18, 1997 - May 8, 1998
BIRCHTREE FINANCIAL SERVICES LLC
November 15, 1995 - February 10, 1997
FIRST SECURITIES COMPANY OF KANSAS, INCORPORATED
September 8, 1994 - February 11, 1997
RIEDL FIRST SECURITIES COMPANY OF KANSAS
October 25, 1989 - September 2, 1994
FIRST SECURITIES COMPANY OF KANSAS, INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ARCHER ALEXANDER SECURITIES CORPORATION
CRD#: 41555 / SEC#: , 8-49488
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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