William F. O'grady
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 Francis O'grady JR, who also goes by William Francis Ogrady Jr, William Francis Jr Ogrady, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1992. William had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2017 - July 20, 2020
CHESTERBROOK CAPITAL
April 13, 2011 - April 2, 2015
FORESIDE FUND SERVICES, LLC
November 12, 2008 - February 19, 2010
JUPITER DISTRIBUTION PARTNERS, INC.
August 2, 2006 - April 9, 2008
MML INVESTORS SERVICES, LLC
March 20, 2002 - December 31, 2005
AMUNDI DISTRIBUTOR US, INC.
April 19, 1995 - October 10, 2001
FIDELITY DISTRIBUTORS COMPANY LLC
May 6, 1992 - March 20, 1995
ALLIANCEBERNSTEIN INVESTMENTS, 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
Current Firm
CHESTERBROOK CAPITAL
CRD#: 104395 / SEC#: , 8-52857
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAGIS CAPITAL PARTNERS LLC | PARENT | |
| BARTON, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER / CHIEF COMPLIANCE OFFICER | 4692910 |
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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