William F. Cairney
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 Francis Cairney, who also goes by Bill Cairney, William F Cairney, William Francis Cairney, William Cairney, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1990. William had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 14 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
December 14, 2021 - October 20, 2023
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
September 12, 2018 - December 21, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 16, 2014 - July 16, 2018
BARCLAYS CAPITAL INC.
March 16, 2007 - September 11, 2014
J.P. MORGAN SECURITIES LLC
December 9, 2003 - February 12, 2007
MORGAN STANLEY DW INC.
March 24, 2000 - October 21, 2003
MORGAN STANLEY & CO. LLC
June 22, 1999 - March 22, 2000
GOLDMAN SACHS & CO. LLC
August 4, 1998 - May 14, 1999
BANC OF AMERICA SECURITIES LLC
December 20, 1996 - August 7, 1998
MORGAN STANLEY & CO. LLC
March 16, 1994 - December 23, 1996
CIBC WORLD MARKETS CORP.
May 22, 1991 - December 15, 1992
CITIGROUP GLOBAL MARKETS INC.
August 30, 1990 - November 12, 1990
ROYCE INVESTMENT GROUP, INC.
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
Current Firm
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
CRD#: 18487 / SEC#: , 8-37085
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN PORTFOLIOS HOLDINGS, INC. | 100% SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| DOLBER, LON TERRY | DIRECTOR | 862635 |
| DOLBER, LON TERRY | CEO & PRESIDENT | 862635 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR | 2627931 |
| SCHLUETER, MATTHEW ADAM | EVP | 2627931 |
| SCHMIDT, DAVID MARTIN | FINANCIAL & OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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