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BS

Bill J. Short

Some features on this profile are disabled
CRD#: 1999761
BS

Professional summary

Bill Joe Short II was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Bill is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Bill had worked at 9 firms, which includes TERRA NOVA FINANCIAL LLC, ARGENT SECURITIES INC., RAYMOND JAMES & ASSOCIATES INC., AMERIPRISE ADVISOR SERVICES INC., METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC., IFMG SECURITIES INC., PAMCO SECURITIES AND INSURANCE SERVICES, UBS FINANCIAL SERVICES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bill J Short | Bill Joe Short

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

February 13, 1997 - June 3, 1997

TERRA NOVA FINANCIAL, LLC

BD
CRD#: 37761
NEW YORK, NY
Past

April 8, 1996 - October 31, 1996

ARGENT SECURITIES, INC.

BD
CRD#: 15297
ATLANTA, GA
Past

February 27, 1995 - April 24, 1996

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL
Past

December 23, 1991 - March 9, 1995

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI
Past

September 30, 1991 - November 27, 1991

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

September 30, 1991 - November 27, 1991

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

August 1, 1991 - August 21, 1991

IFMG SECURITIES, INC.

BD
CRD#: 14416
PURCHASE, NY
Past

November 9, 1990 - August 1, 1991

PAMCO SECURITIES AND INSURANCE SERVICES

BD
CRD#: 11028
Past

December 18, 1989 - November 8, 1990

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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: 11/6/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/21/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 1/4/1994
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

TN
TERRA NOVA FINANCIAL, LLC
TERRA NOVA FINANCIAL, LLC | TERRA NOVA TRADING, L.L.C.

CRD#: 37761 / SEC#: , 8-47943

BD
Terminated by SEC on 02/01/2011
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Contact information

Main Address
Mailing Address
Phone number
Established
Illinois since 11/14/1994
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LIGHTSPEED FINANCIAL, INC.DIRECT OWNER
ACTMAN, ANDREW HOWARDCHIEF OPERATIONS OFFICER2869087
BARRILLEAUX, JANICE JONESCHIEF EXECUTIVE OFFICER2339063
LYONS, JASON ROBERTCHIEF FINANCIAL OFFICE2921790
PETZOLD, KEITH WILLIAMCHIEF COMPLIANCE OFFICER2944070

Disclosures

Regulatory Event24
Arbitration4

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

TERRA NOVA FINANCIAL, LLC

CRD#: 37761

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