William R. Withey
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 Richard Withey, who also goes by Bill Withey, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1991. William had worked at 12 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2012 - August 28, 2012
NATIONAL PLANNING CORPORATION
March 9, 2012 - August 28, 2012
NATIONAL PLANNING CORPORATION
January 5, 2011 - February 14, 2012
CROWN CAPITAL SECURITIES, L.P.
January 4, 2011 - February 14, 2012
CROWN CAPITAL SECURITIES, L.P.
October 3, 2008 - December 31, 2010
KMS FINANCIAL SERVICES, INC.
October 3, 2008 - December 31, 2010
KMS FINANCIAL SERVICES, INC.
May 3, 2007 - May 6, 2008
EAGLE STRATEGIES LLC
March 20, 2006 - August 12, 2008
DH FINANCIAL CONSULTING SERVICES, INC.
July 28, 2005 - May 6, 2008
NYLIFE SECURITIES LLC
January 20, 1999 - November 30, 2004
FINANCIAL WEST GROUP
December 9, 1997 - November 30, 2004
FINANCIAL WEST GROUP
September 24, 1997 - October 24, 1997
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 24, 1997 - October 24, 1997
EQUITABLE ADVISORS, LLC
June 23, 1997 - July 24, 1997
FIRST LIBERTY INVESTMENT GROUP, INC.
January 13, 1992 - May 20, 1997
DIRECT EQUITIES, INC.
July 30, 1991 - January 2, 1992
WESTMARK SECURITIES CORPORATION
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
NATIONAL PLANNING CORPORATION
CRD#: 29604 / SEC#: 801-41015, 8-44435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO- NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NATIONAL PLANNING HOLDINGS, INC.; DIRECTOR | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL AND SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| JOHNSON, JOHN CHARLES | PRESIDENT/CEO/DIRECTOR | 2079852 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP/FINOP CONTROLLER | 4800775 |
| MARTINEZ, WENDY TAMIE | SVP OPERATIONS | 2668422 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS | 1955960 |
| STONE, JEREMY MICHAEL | VICE PRESIDENT COMPLIANCE | 5000139 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
| 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.
