William P. Farris
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 Patrick Farris, who also goes by Pat Farris, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1970. William had worked at 11 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 2014 - May 11, 2017
KOVACK SECURITIES INC.
March 6, 2001 - October 15, 2014
RESOURCE HORIZONS GROUP LLC
September 26, 1997 - March 13, 2001
CENTENNIAL CAPITAL MANAGEMENT, INC.
February 16, 1994 - July 16, 1998
CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.
January 3, 1994 - September 29, 1997
CADARET, GRANT & CO., INC.
May 21, 1993 - January 1, 1994
NATIONAL SECURITIES CORPORATION
January 7, 1987 - May 4, 1993
CONSECO FINANCIAL SERVICES, INC.
October 4, 1985 - August 26, 1986
AMERICAN CAPITAL EQUITIES, INC.
May 12, 1983 - May 4, 1993
CONSECO FINANCIAL SERVICES, INC.
February 26, 1982 - September 19, 1985
CONSECO FINANCIAL SERVICES, INC.
June 27, 1972 - September 27, 1985
SOUTHWESTERN MANAGEMENT & RESEARCH CORPORATION
September 17, 1971 - July 14, 1972
HOME LIFE INSURANCE COMPANY
March 2, 1970 - April 12, 1971
SOUTHWESTERN LIFE INSURANCE COMPANY
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 1
Date: 2/21/1970
Registered Representative ExaminationCurrent Firm
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
