William M. Dial
Professional summary
William Marshall Dial, who also goes by Bill Dial, is a registered financial professional currently at SEAPORT GLOBAL SECURITIES LLC located in New York, New York.
William is registered as a RR (Registered Representative) and started their career in finance in 1992. William has worked at 13 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Marshall Dial's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 4, 2023 - Present
SEAPORT GLOBAL SECURITIES LLC
Office #1: 360 Madison Ave 22nd Floor, New York, NY 10017Office #2: 2 Greenwich Office Park Suite 150, Greenwich, CT 06831January 30, 2023 - October 30, 2023
BLAYLOCK VAN, LLC
January 17, 2019 - May 1, 2019
INTL FCSTONE CREDIT TRADING LLC
July 18, 2018 - October 5, 2022
STONEX FINANCIAL INC.
January 9, 2012 - July 10, 2018
CANTOR FITZGERALD & CO.
September 21, 2011 - December 9, 2011
MF GLOBAL INC.
January 3, 2011 - August 4, 2011
KNIGHT CAPITAL AMERICAS, L.P.
October 14, 2008 - January 3, 2011
KNIGHT LIBERTAS LLC
December 18, 2002 - September 24, 2008
BARCLAYS CAPITAL INC.
June 20, 1997 - April 4, 2002
DEUTSCHE BANK SECURITIES INC.
February 22, 1995 - August 25, 1995
TD AMERITRADE, INC.
August 24, 1992 - February 6, 1995
PRINCIPAL FINANCIAL SECURITIES,INC.
June 26, 1992 - August 5, 1992
CHELSEA STREET SECURITIES, 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
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Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 1/7/2004
Limited Representative-Equity Trader ExamFINRA
Nasdaq ISE, LLC
Nasdaq Stock Market
Current Firm
SEAPORT GLOBAL SECURITIES LLC
CRD#: 116270 / SEC#: , 8-53535
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
