William J. Weldon

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CRD#: 2163588

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 J Weldon III, who also goes by Bill Weldon III, William James Weldon III, Willie Weldon Iii, William J Weldon, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1991. William had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bill Weldon Iii | William James Weldon Iii | Willie Weldon Iii | William J Weldon

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

December 3, 2021 - May 8, 2023

THIRD SEVEN CAPITAL LLC

CRD#: 160209

GREENWICH, CT

Past

February 25, 2021 - December 1, 2021

WAYPOINT DIRECT INVESTMENTS, LLC

CRD#: 132475

STAMFORD, CT

Past

September 18, 2020 - February 16, 2021

C. L. KING & ASSOCIATES, INC.

CRD#: 6183

ALBANY, NY

Past

January 1, 2008 - September 8, 2020

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ONEONTA, NY

Past

May 24, 2007 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

ONEONTA, NY

Past

July 18, 2003 - May 24, 2007

C. L. KING & ASSOCIATES, INC.

CRD#: 6183

ALBANY, NY

Past

April 3, 1998 - July 17, 2003

SANDERS MORRIS LLC

CRD#: 20580

HOUSTON, TX

Past

November 22, 1996 - March 18, 1998

RODMAN & RENSHAW INC.

CRD#: 724

CHICAGO, IL

Past

March 23, 1995 - November 12, 1996

AXIOM CAPITAL MANAGEMENT, INC.

CRD#: 26580

NEW YORK, NY

Past

January 21, 1993 - March 7, 1995

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 16, 1991 - January 22, 1992

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/10/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/20/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/13/1991

General Securities Representative Examination

Current Firm

THIRD SEVEN CAPITAL LLC

THIRD SEVEN CAPITAL ADVISORS | THIRD SEVEN CAPITAL, LLC | THIRD SEVEN CAPITAL LLC

CRD#: 160209 / SEC#: , 8-69032

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

67 Holly Hill Lane Suite 8500, New York, NY 10022

Mailing Address

67 Holly Hill Lane Suite 300c, Greenwich, CT 06830

Phone number

(917) 602-6153

Established

Delaware since 07/06/2011

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
THIRD SEVEN GROUP LLC	HOLDING COMPANY
DIFIORE, MONICA LISA	CCO	2966552
LEDGER, NICHOLAS MARK	CEO/CFO	6779287
SAKOL, DANIEL SCOTT	FIN OP	2813237

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

William J. Weldon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WAYPOINT DIRECT INVESTMENTS, LLC

C. L. KING & ASSOCIATES, INC.

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

C. L. KING & ASSOCIATES, INC.

SANDERS MORRIS LLC

RODMAN & RENSHAW INC.

AXIOM CAPITAL MANAGEMENT, INC.

CITIGROUP GLOBAL MARKETS INC.

KIDDER, PEABODY & CO. INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 5/10/2000

Series 63

Date: 9/20/1991

SIE

Date: 10/1/2018

Series 7

Date: 9/13/1991

Current Firm

THIRD SEVEN CAPITAL LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

THIRD SEVEN CAPITAL LLC

TRUST BUT VERIFY

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