William P. Baessler
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 Paul Baessler was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1991. William had worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 7 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
August 16, 2010 - October 22, 2015
BANCO VOTORANTIM SECURITIES, INC.
January 7, 2009 - August 13, 2010
PLANNER SECURITIES LLC
September 2, 2004 - December 12, 2008
UNIBANCO SECURITIES INC.
July 8, 2002 - August 30, 2004
ITAU BBA USA SECURITIES, INC.
July 31, 1998 - October 15, 2001
CREDIT SUISSE SECURITIES (USA) LLC
May 4, 1994 - July 31, 1998
GARANTIA INC.
December 19, 1991 - June 22, 1992
HIBBARD BROWN & CO., 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: 3/29/2000
Limited Representative-Equity Trader ExamCurrent Firm
BANCO VOTORANTIM SECURITIES, INC.
CRD#: 139788 / SEC#: , 8-67258
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANCO VOTORANTIM S.A. | PARENT | |
| AZEVEDO, ALVARO JORGE FONTES DE | DIRECTOR | 6077909 |
| BONZANINI, PAULO EUCLIDES | DIRECTOR | 6739868 |
| BRITTO, FELIPE BULCAO L. | CCO | 4287953 |
| BRITTO, FELIPE BULCAO L. | PRESIDENT, CEO | 4287953 |
| DOS SANTOS, ELCIO JORGE | DIRECTOR | 6736517 |
| FAJNZYLBER, RICARDO ABRAHAO | DIRECTOR | 6741022 |
| PORTNOFF, DAVID ROSS | FINOP, CFO | 2977967 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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