William T. Dailey
Professional summary
William Thomas Dailey III was barred by the SEC 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 8 firms, which includes THE BENCHMARK COMPANY LLC, URCHIN CAPITAL PARTNERS LLC, NEEDHAM & COMPANY LLC, THINKEQUITY LLC, ABN AMRO INCORPORATED, ABN AMRO SECURITIES LLC, BANC OF AMERICA SECURITIES LLC, MONTGOMERY SECURITIES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2008 - September 4, 2009
THE BENCHMARK COMPANY, LLC
January 12, 2007 - November 12, 2007
URCHIN CAPITAL PARTNERS, LLC
January 27, 2003 - November 21, 2006
NEEDHAM & COMPANY, LLC
May 20, 2002 - November 15, 2002
THINKEQUITY LLC
March 1, 2002 - April 16, 2002
ABN AMRO INCORPORATED
April 30, 2001 - March 1, 2002
ABN AMRO SECURITIES LLC
May 31, 2000 - April 30, 2001
ABN AMRO INCORPORATED
October 1, 1997 - May 18, 2000
BANC OF AMERICA SECURITIES LLC
October 16, 1990 - October 1, 1997
MONTGOMERY SECURITIES
State Registrations and Notice Filings
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Exams
Current Firm
THE BENCHMARK COMPANY, LLC
CRD#: 22982 / SEC#: , 8-40081
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 17 |
| Arbitration | 1 |
Red Flags
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