William H. Bicksler
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 Hamilton Bicksler, who also goes by Bill Bicksler, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1972. William had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 1, Series 8, Series 53 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2009 - January 10, 2020
STIFEL, NICOLAUS & COMPANY, INCORPORATED
May 21, 2009 - January 10, 2020
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 20, 2003 - May 28, 2009
CITIGROUP GLOBAL MARKETS INC.
June 16, 1998 - May 28, 2009
CITIGROUP GLOBAL MARKETS INC.
December 4, 1989 - July 7, 1998
WACHOVIA SECURITIES, INC.
March 31, 1989 - December 8, 1989
FIRST UNION CAPITAL MARKETS CORP.
April 11, 1988 - April 19, 1989
MARSHALL & CO. SECURITIES, INC.
August 28, 1984 - June 6, 1988
KIDDER, PEABODY & CO. INCORPORATED
July 16, 1983 - July 31, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 21, 1981 - July 28, 1983
BUCKHEAD SECURITIES, INC.
January 14, 1972 - July 1, 1981
THE ROBINSON-HUMPHREY COMPANY, LLC
Primary Firm SEC Registration
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793 / SEC#: 801-10746, 8-1447
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: 1/12/1972
Registered Representative ExaminationSeries 8
Date: 1/26/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Series 00
Date: 3/21/1973
General Securities Principal ExaminationCurrent Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793 / SEC#: 801-10746, 8-1447
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
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.
