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WF

William K. French

SMG SECURITIES
New York, NY 10022
Some features on this profile are disabled
CRD#: 2254678
WF

Professional summary

William Kenneth French is a registered financial professional currently at SMG SECURITIES, INC. 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 1 firm and has passed the Series 63, Series 99TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Kenneth French's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 8, 1992 - Present

SMG SECURITIES, INC.

Office #1: 800 Third Ave, New York, NY 10022Office #2: 333 East 66th Street Suite 2-o, New York, NY 10065
BD
CRD#: 17406
New York, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(10/27/2003)
RR
Connecticut
(8/1/1995)
RR
Delaware
(8/1/1995)
RR
Louisiana
(5/25/2004)
RR
Maryland
(10/28/2003)
RR
Massachusetts
(8/16/1995)
RR
Michigan
(3/25/2004)
RR
New Hampshire
(8/29/1995)
RR
New Jersey
(5/3/1993)
RR
New York
(8/1/1995)
RR
Ohio
(11/7/2003)
RR
Pennsylvania
(8/1/1995)
RR
Rhode Island
(8/2/1995)
RR
Vermont
(7/2/2004)

Exams

State Security Law Exam
RR
Series 63
Date: 7/28/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/4/1992
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SMG SECURITIES, INC.
SCOTT-MACON SECURITIES, INC. | SMG SECURITIES, INC.

CRD#: 17406 / SEC#: , 8-35184

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
333 East 66th Street Suite 2-o, New York, NY 10065
Mailing Address
333 East 66th Street Suite 2-o, New York, NY 10065
Phone number
(212) 288-1200
Established
Delaware since 11/08/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (14 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SMG ASSOCIATES, LLCOWNER
TEPPER, JEFFREY MARKPRESIDENT & CEO AND CHIEF COMPLIANCE OFFICER1215438

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.

Company Information

SMG SECURITIES, INC.

CRD#: 17406New York, NY 10022

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