William A. Evans
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 Ashton Evans III, who also goes by Bill Evans, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1972. William had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, PC, Series 1, Series 12, Series 4 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
April 29, 2016 - November 13, 2017
WHITEHALL-PARKER SECURITIES, INC.
April 29, 2016 - November 13, 2017
WHITEHALL-PARKER SECURITIES, INC.
July 18, 2013 - April 25, 2014
FFEC WEALTH PARTNERS LLC
November 4, 2011 - January 5, 2012
STIFEL, NICOLAUS & COMPANY, INCORPORATED
November 3, 2011 - January 5, 2012
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 1, 2008 - December 26, 2008
S & Y ASSET MANAGEMENT LLC
February 16, 2006 - October 23, 2007
S & Y ASSET MANAGEMENT LLC
October 21, 2005 - December 31, 2005
S & Y ASSET MANAGEMENT LLC
October 21, 2005 - August 30, 2006
S & Y ASSET MANAGEMENT LLC
July 30, 2002 - November 7, 2011
STONE & YOUNGBERG LLC
August 4, 1998 - July 12, 1999
SAN FRANCISCO SECURITIES, INC.
July 21, 1998 - November 7, 2011
STONE & YOUNGBERG LLC
July 29, 1997 - January 28, 1998
MCLAUGHLIN CAPITAL MARKETS, INC.
December 5, 1979 - July 23, 1997
UBS FINANCIAL SERVICES INC.
April 13, 1978 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
February 24, 1978 - September 2, 1978
MORGAN STANLEY DW INC.
March 1, 1974 - February 24, 1978
REYNOLDS SECURITIES, INC.
December 19, 1972 - June 6, 1974
DUPONT WALSTON, INCORPORATED
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 15
Date: 10/31/1984
Foreign Currency Options ExaminationSeries 5
Date: 10/12/1981
Interest Rate Options ExaminationPC
Date: 8/30/1978
AMEX Put and Call ExamSeries 1
Date: 12/15/1972
Registered Representative ExaminationSeries 12
Date: 11/29/1979
NYSE Branch Manager ExaminationCurrent Firm
WHITEHALL-PARKER SECURITIES, INC.
CRD#: 10608 / SEC#: , 8-27688
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25 |
| AUM (Assets Under Management) | $ 20,000,000 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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.
