William S. Prendergast
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 Scott Prendergast was a registered financial advisor .
William is a previously registered financial advisor and started their career in finance in 1992. William had worked at 8 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 51 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
December 15, 2004 - August 2, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 6, 2002 - September 22, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 18, 2000 - June 26, 2002
MORGAN STANLEY DW INC.
April 11, 2000 - June 26, 2002
MORGAN STANLEY DW INC.
October 1, 1999 - May 5, 2000
WELLS FARGO CLEARING SERVICES, LLC
December 12, 1997 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
June 5, 1995 - December 19, 1997
UBS FINANCIAL SERVICES INC.
July 31, 1993 - June 13, 1995
CITIGROUP GLOBAL MARKETS INC.
September 15, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
August 18, 1992 - October 27, 1992
TRANSAMERICA FINANCIAL ADVISORS, 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
Current Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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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