William A. Owen
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 Arthur Owen, who also goes by Bill Owen, William A Owen, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1992. William had worked at 5 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, 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
September 28, 2016 - May 7, 2021
GCMI SECURITIES CORP.
February 26, 2016 - September 26, 2016
ASCENDIANT CAPITAL MARKETS, LLC
June 4, 2014 - May 15, 2015
HUNTER WISE SECURITIES, LLC
June 15, 2011 - April 29, 2014
ASCENDIANT CAPITAL MARKETS, LLC
March 23, 2009 - January 30, 2012
HUNTER WISE SECURITIES, LLC
July 9, 1999 - January 18, 2000
E*OFFERING
May 18, 1992 - October 13, 1998
ROTH CAPITAL PARTNERS, 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
GCMI SECURITIES CORP.
CRD#: 139520 / SEC#: , 8-67225
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
