William B. Garland
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 Barry Garland was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1969. William had worked at 16 firms and has passed the Series 63, SIE, Series 1, Series 4 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
July 6, 2007 - December 31, 2015
REGAL SECURITIES, INC.
December 22, 1997 - December 31, 2002
BROOKSTREET SECURITIES CORPORATION
June 14, 1996 - July 2, 2007
BROOKSTREET SECURITIES CORPORATION
November 3, 1987 - June 19, 1996
TOLUCA PACIFIC SECURITIES CORP.
March 25, 1983 - October 26, 1987
FIRST AFFILIATED SECURITIES, INC.
July 19, 1982 - March 28, 1983
BRENTWOOD SECURITIES, INC.
February 25, 1982 - July 12, 1982
MARSAN SECURITIES CO., INC.
November 25, 1981 - February 25, 1982
AMERICAN WESTERN SECURITIES, INC.
September 20, 1979 - June 8, 1982
M. S. WIEN & CO., INC.
June 23, 1978 - August 30, 1979
INVESTORS FINANCIAL SERVICES, INCORPORATED
January 17, 1977 - June 23, 1978
INVESTORS FINANCIAL SERVICES, INC.
November 6, 1973 - January 1, 1977
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
September 10, 1973 - February 14, 1974
PARKER-JACKSON & CO., INC.
July 13, 1973 - October 27, 1973
FREDRICK GREGORY & COMPANY
August 18, 1972 - October 27, 1974
UNITED SECURITIES COMPANY OF AMERICA
April 6, 1971 - September 17, 1972
J. SHAPIRO CO.
December 2, 1969 - April 12, 1971
SACKS & COMPANY
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: 8/15/1966
Registered Representative ExaminationSeries 00
Date: 6/7/1971
General Securities Principal ExaminationCurrent Firm
REGAL SECURITIES, INC.
CRD#: 7297 / SEC#: , 8-21765
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOKIOS, GEORGE | CHAIRMAN OF THE BOARD/SOLE DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER | 718774 |
| VILLAFLOR, ROBERT FUSTER | SHAREHOLDER | 2374555 |
| AKSOMITAITE, SKAISTE | VICE PRESIDENT AND FINOP | 4852873 |
| BOKIOS, EUGENIA THEADORA MS | SENIOR VICE PRESIDENT & GENERAL COUNSEL | 2392199 |
| BOKIOS, VICTORIA THEADORA | TREASURER/SECRETARY | 2421318 |
| ENGELBRECHT, JEREMY AARON | CHIEF COMPLIANCE OFFICER (INTERIM) | 3277607 |
| HERRIN, SHAWN EVERETT | PRESIDENT | 2311476 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 4 |
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.
