William D. Buckel
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 David Buckel, who also goes by Bill Buckel, 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, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2017 - July 31, 2019
STONEX SECURITIES INC.
October 14, 2015 - March 31, 2016
OSAIC INSTITUTIONS, INC.
October 14, 2015 - March 31, 2016
OSAIC INSTITUTIONS, INC.
May 17, 2012 - October 16, 2015
ESSEX NATIONAL SECURITIES, LLC
May 17, 2012 - October 16, 2015
ESSEX NATIONAL SECURITIES, LLC
April 30, 2010 - May 22, 2012
LPL FINANCIAL LLC
April 30, 2010 - May 22, 2012
LPL FINANCIAL LLC
August 1, 2007 - April 14, 2010
THE HUNTINGTON INVESTMENT COMPANY
August 1, 2007 - April 14, 2010
THE HUNTINGTON INVESTMENT COMPANY
February 28, 2006 - August 1, 2007
NATIONAL PLANNING CORPORATION
April 18, 2001 - August 1, 2007
NATIONAL PLANNING CORPORATION
May 10, 2000 - April 25, 2001
CETERA INVESTMENT SERVICES LLC
April 22, 1997 - May 10, 2000
GUARANTY BROKERAGE SERVICES, INC.
November 27, 1991 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 27, 1991 - May 7, 1997
PRUCO SECURITIES, LLC.
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
STONEX SECURITIES INC.
CRD#: 18456 / SEC#: , 8-36638
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | 100% OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| CARTER, JAY WILSON | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 2412541 |
| DAVISON, STUART ANDREW | DIRECTOR | 7824576 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HUGO, MARK ERIC | POO | 2177412 |
| LYON, CHARLES MARTIN | DIRECTOR | 4000852 |
| MAURER, MARK L | DIRECTOR | 4234406 |
| MCAUSLAN, JAMES BUCHANAN | DIRECTOR | 7658964 |
| PARKER, BRIAN LANE | CHIEF COMPLIANCE OFFICER, ROSFP | 4635848 |
| PORZIO, JOSEPH JOHN | CFO / PFO / FINOP | 1319702 |
| RICHARDSON, MARCUS BRYANT | CHIEF OPERATING OFFICER | 3037932 |
| SMITH, PHILIP ANDREW | DIRECTOR, CHAIRMAN OF THE BOARD | 4999097 |
Disclosures
| Regulatory Event | 9 |
| 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.
