William R. Slivka
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 Robert Slivka, who also goes by William R Slivka, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1989. William had worked at 8 firms and has passed the Series 63, Series 55, Series 7, Series 6, Series 53, Series 4, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2008 - October 25, 2011
ASG SECURITIES, INC.
June 13, 2005 - July 24, 2006
QUANTUM SECURITIES, INC.
November 26, 2003 - January 16, 2004
R.M. STARK & CO., INC.
April 7, 2000 - February 14, 2002
CAPITAL SUISSE SECURITIES, INC.
September 12, 1994 - June 9, 1998
THE HERITAGE GROUP, INC.
February 12, 1992 - November 23, 1993
FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.
November 20, 1989 - July 25, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 20, 1989 - July 25, 1990
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 3/12/2001
Limited Representative-Equity Trader ExamCurrent Firm
ASG SECURITIES, INC.
CRD#: 44534 / SEC#: , 8-50730
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FUGLER, MICHAEL ROY | VICE CHAIRMAN | 2947789 |
| VP PERFORMANCE TRUST | SHAREHOLDER | |
| CANTRELL, WILLIAM KEY | EVP CCO | 811596 |
| DEPELISI, JAMES | EVP COO | 2339793 |
| FISCHER, KAREN ZILLIA | FIN OP | 1708090 |
| LDV CONSULTING, INC. | SHAREHOLDER | |
| ROBINSON, WILLIAM CARL | TRUSTEE, VPPT | |
| SCILLIA, MICHAEL VINCENT | DIRECTOR, CHAIRMAN, FINRA EXECUTIVE REPRESENTATIVE | 416774 |
Disclosures
| Regulatory Event | 2 |
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.
