William B. Assatly
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 Badry Assatly, who also goes by Billy Assatly, William B Assatly, William Badry Assatly, William Barry Assatly, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1993. William had worked at 12 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, 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
May 2, 2025 - May 8, 2025
PAULSON INVESTMENT COMPANY LLC
April 1, 2019 - April 21, 2025
CELADON FINANCIAL GROUP LLC
December 4, 2013 - March 29, 2019
ALTERNATIVE EXECUTION GROUP
August 13, 2008 - January 30, 2014
MERCATOR ASSOCIATES, LLC
February 7, 2008 - August 14, 2008
GROSSMAN & CO., LLC.
May 9, 2005 - February 20, 2008
THE VERTICAL GROUP
August 2, 2004 - May 6, 2005
PUGLISI & CO.
March 31, 2003 - July 19, 2004
CROWN FINANCIAL GROUP, INC.
March 11, 2002 - March 20, 2003
PUGLISI & CO.
February 14, 2002 - March 14, 2002
NATIONAL SECURITIES CORPORATION
June 13, 2001 - January 26, 2002
E STREET ACCESS
October 23, 2000 - April 17, 2001
CROWN FINANCIAL GROUP, INC.
March 6, 1997 - October 23, 2000
SHARPE CAPITAL, INC.
July 30, 1993 - March 4, 1997
CROWN FINANCIAL GROUP, INC.
April 5, 1993 - August 17, 1993
BURNS FRY 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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 4/16/1999
Limited Representative-Equity Trader ExamCurrent Firm
PAULSON INVESTMENT COMPANY LLC
CRD#: 5670 / SEC#: 801-107194, 8-26807
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAULSON CAPITAL HOLDING COMPANY, LLC | OWNER | |
| CLARK, CHRISTOPHER STEVEN | CHAIRMAN, ELECTED MANAGER | 1952666 |
| PARIGIAN, THOMAS STEWART | ELECTED MANAGER | 1398840 |
| SETTEDUCATI, ROBERT JOSEPH | ELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT | 1352722 |
| DAVIS, TRENT DONALD | CHIEF EXECUTIVE OFFICER | 2137171 |
| RASMUSSEN, KATHLEEN HATLELI | CHIEF COMPLIANCE OFFICER | 2608755 |
| WINKS, MALCOLM ALEXANDER | PRESIDENT AND CFO/FINOP | 5153752 |
Disclosures
| Regulatory Event | 35 |
| Civil Event | 1 |
| Arbitration | 8 |
| Bond | 1 |
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.
