William M. Bethlem
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 Mcdougall Bethlem, who also goes by William Bethlem, 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 65, Series 63, Series 3, 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
March 10, 2015 - December 31, 2016
LEGEND WM
March 10, 2015 - July 29, 2021
LEGEND WM
August 12, 2009 - April 14, 2014
ITAU INTERNATIONAL SECURITIES INC.
November 8, 1999 - June 26, 2009
UNIBANCO SECURITIES INC.
July 18, 1994 - October 22, 1998
GOLDMAN SACHS & CO. LLC
April 28, 1992 - March 22, 1994
CITICORP SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
LEGEND WM
CRD#: 174259 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 19 |
| AUM (Assets Under Management) | $ 118,156,077 |
Red Flags
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