William R. Moritz
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 Richard Moritz, who also goes by Bill Moritz Jr, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1992. William had worked at 12 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2012 - August 31, 2012
CUTWATER ASSET MANAGEMENT
June 8, 2006 - November 15, 2010
FIRST SOUTHWEST COMPANY, LLC
April 16, 2004 - February 6, 2006
TRI-STAR FINANCIAL
February 25, 2003 - June 11, 2003
E*TRADE SECURITIES LLC
April 7, 2000 - July 23, 2001
CITISTREET EQUITIES LLC
April 12, 1999 - August 26, 1999
SPIRES FINANCIAL, L.P.
July 11, 1996 - July 11, 1997
BANK UNITED SECURITIES CORP.
June 26, 1996 - July 10, 1996
TRI-STAR FINANCIAL
January 24, 1995 - June 5, 1995
WESTCAP SECURITIES, L.P.
January 6, 1995 - March 23, 1995
H.J. MEYERS & CO., INC.
March 30, 1994 - December 8, 1994
TRI-STAR FINANCIAL
January 28, 1993 - April 24, 1993
HART SECURITIES, INC.
September 14, 1992 - December 16, 1992
MARCUS, STOWELL & BEYE, INC.
September 14, 1992 - December 16, 1992
MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CUTWATER ASSET MANAGEMENT
CRD#: 37214 / SEC#: 801-46649, 8-47662
Contact information
Disclosures
| Regulatory Event | 2 |
Red Flags
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