William T. Elliott
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 Talmage Elliott was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1970. William had worked at 6 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE, Series 5, PC, Series 1, Series 28, Series 53, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 1991 - December 1, 2023
CENTER STREET SECURITIES, INC.
March 23, 1988 - June 9, 1989
INDEPENDENT INVESTMENT BROKERS OF AMERICA
August 25, 1983 - March 2, 1988
A. G. EDWARDS & SONS, INC.
April 16, 1980 - September 7, 1983
UBS FINANCIAL SERVICES INC.
November 28, 1972 - May 16, 1980
E. F. HUTTON & COMPANY INC
July 24, 1970 - December 13, 1972
DUPONT GLORE FORGAN & CO
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 5
Date: 11/17/1981
Interest Rate Options ExaminationPC
Date: 8/31/1979
AMEX Put and Call ExamSeries 1
Date: 4/17/1967
Registered Representative ExaminationSeries 28
Date: 8/1/1990
Introducing Broker/Dealer Financial Operations Principal ExaminationSeries 8
Date: 9/26/1983
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CENTER STREET SECURITIES, INC.
CRD#: 26898 / SEC#: , 8-42786
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Criminal | 1 |
| Arbitration | 7 |
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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