William L. Casper
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 Lindsey Casper, who also goes by William L Casper, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1993. William had worked at 6 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2013 - February 5, 2014
TAYLOR CAPITAL MANAGEMENT INC.
September 15, 2009 - October 18, 2011
SUNSET FINANCIAL SERVICES, INC.
August 8, 2007 - August 17, 2009
INSPHERE SECURITIES, INC.
July 17, 2003 - August 10, 2007
EQUITY SERVICES, INC.
January 1, 2002 - July 2, 2003
LOCUST STREET SECURITIES, INC.
May 6, 1993 - January 1, 2002
BMA FINANCIAL SERVICES, 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
TAYLOR CAPITAL MANAGEMENT INC.
CRD#: 43559 / SEC#: , 8-50313
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
| Arbitration | 9 |
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.
