William J. Clancy
Professional summary
William James Clancy was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, William had worked at 10 firms, which includes KERN SUSLOW SECURITIES INC., THE THORNWATER COMPANY L.P., WINDSOR STREET CAPITAL LP, ROAN CAPITAL PARTNERS L.P., HAPOALIM SECURITIES USA INC., STUART COLEMAN & CO. INC., JOSEPHTHAL & CO. INC., LADENBURG THALMANN & CO. INC., GRUNTAL & CO. L.L.C., LOMBARD SECURITIES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 2002 - March 18, 2003
KERN, SUSLOW SECURITIES, INC.
November 17, 2000 - May 1, 2002
KERN, SUSLOW SECURITIES, INC.
September 5, 2000 - December 1, 2000
THE THORNWATER COMPANY, L.P.
January 18, 2000 - August 28, 2000
WINDSOR STREET CAPITAL, LP
January 2, 2000 - January 18, 2000
ROAN CAPITAL PARTNERS L.P.
June 1, 1999 - December 14, 1999
HAPOALIM SECURITIES USA, INC.
March 16, 1994 - June 1, 1999
STUART, COLEMAN & CO., INC.
March 5, 1993 - April 7, 1994
JOSEPHTHAL & CO., INC.
August 13, 1992 - March 11, 1993
LADENBURG THALMANN & CO. INC.
July 13, 1990 - August 4, 1992
GRUNTAL & CO., L.L.C.
May 9, 1990 - May 29, 1990
LOMBARD SECURITIES CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
KERN, SUSLOW SECURITIES, INC.
CRD#: 24755 / SEC#: , 8-41371
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUSLOW, STEPHEN S | VICE PRESIDENT | 440234 |
| HAMILTON, CHRISTOPHER GEORGE | FINOP, PRESIDENT, CCO | |
| ESTATE OF ARTHUR KERN | OWNER |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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