William J. Plovanic
Professional summary
William John Plovanic is a registered financial professional currently at CANACCORD GENUITY 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 7 firms and has passed the Series 63, Series 65, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William John Plovanic's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 29, 2020 - Present
CANACCORD GENUITY LLC
Office #1: One Pennsylvania Plaza Suite 2900, New York, NY 10119March 22, 2012 - March 28, 2012
CANACCORD GENUITY SECURITIES LLC
February 26, 2007 - April 1, 2016
CANACCORD GENUITY LLC
March 20, 2001 - February 28, 2007
GLEACHER & COMPANY SECURITIES, INC.
July 9, 1999 - February 20, 2001
INVESTEC INC.
January 7, 1999 - July 19, 1999
LASALLE ST SECURITIES, L.L.C.
January 29, 1996 - December 2, 1997
MADISON SECURITIES, INC.
December 23, 1992 - January 16, 1995
PRUDENTIAL EQUITY GROUP, 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
(7/27/2023)
(8/24/2020)
(9/14/2020)
Exams
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
Current Firm
CANACCORD GENUITY LLC
CRD#: 1020 / SEC#: , 8-3271
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANACCORD ADAMS (DELAWARE) INC. | PARENT | |
| ANDERSON, SCOTT WINFREE | CHIEF COMPLIANCE OFFICER | 5800524 |
| BARLOW, JEFFREY GRIFFIN | CHIEF EXECUTIVE OFFICER, PRESIDENT, EXECUTIVE DIRECTOR | 2277052 |
| DAVIAU, DANIEL JOSEPH | NON- EXECUTIVE DIRECTOR | 6096472 |
| MACFAYDEN, DONALD DUNCAN | EXECUTIVE DIRECTOR, CFO & FINANCIAL & OPERATIONS PRINCIPAL | 5390198 |
| PARDI SQUITIERI, JENNIFER ELLEN | EXECUTIVE DIRECTOR | 4922719 |
| PROUD, EMILY PRESSMAN | CHIEF OPERATING OFFICER | 5815542 |
| TEIPNER, LARISSA KYLE | US GENERAL COUNSEL |
Disclosures
| Regulatory Event | 45 |
| Bond | 1 |
Red Flags
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