William W. Carey
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 Ward Carey, who also goes by W Ward Carey, Ward Carey, William Ward Carey Jr, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1991. William had worked at 8 firms and has passed the Series 63, Series 7, Series 55, Series 3 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
December 3, 2013 - January 29, 2014
DECKER & CO, LLC
March 29, 2005 - December 1, 2008
PGR SECURITIES, LLC
December 4, 2001 - January 7, 2004
THINKEQUITY LLC
October 9, 2000 - April 2, 2001
H.C.WAINWRIGHT & CO., LLC
September 14, 1998 - April 14, 1999
CREDIT SUISSE SECURITIES (USA) LLC
July 8, 1996 - July 9, 1998
DEUTSCHE BANK SECURITIES INC.
May 13, 1992 - June 5, 1996
ALEX. BROWN & SONS INCORPORATED
November 5, 1991 - April 28, 1992
LEHMAN BROTHERS 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 55
Date: 1/30/2006
Limited Representative-Equity Trader ExamCurrent Firm
DECKER & CO, LLC
CRD#: 166446 / SEC#: , 8-69211
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
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.
