William L. Goss
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 Leroy Goss, who also goes by Bill Goss, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1972. William had worked at 13 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2016 - December 31, 2025
REGISTER FINANCIAL ASSOCIATES, INC.
March 15, 2006 - October 17, 2016
EMERGENT FINANCIAL GROUP, INC.
July 25, 2001 - September 1, 2005
DUNWOODY BROKERAGE SERVICES, INC.
April 12, 2001 - June 22, 2001
MORGAN KEEGAN & COMPANY, LLC
January 7, 1998 - April 12, 2001
REGIONS INVESTMENT COMPANY, INC.
August 20, 1996 - January 6, 1998
DUNWOODY BROKERAGE SERVICES, INC.
September 11, 1993 - August 3, 1994
BANK SOUTH SECURITIES CORPORATION
September 6, 1991 - September 10, 1993
TRUIST SECURITIES, INC.
March 31, 1989 - April 25, 1990
FIRST UNION CAPITAL MARKETS CORP.
July 27, 1988 - April 19, 1989
MARSHALL & CO. SECURITIES, INC.
March 31, 1982 - June 30, 1987
KIDDER, PEABODY & CO. INCORPORATED
January 6, 1977 - April 1, 1982
DREXEL BURNHAM LAMBERT INCORPORATED
February 18, 1976 - January 6, 1977
DREXEL BURNHAM & CO. INCORPORATED
April 10, 1972 - March 1, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 1
Date: 4/5/1972
Registered Representative ExaminationCurrent Firm
REGISTER FINANCIAL ASSOCIATES, INC.
CRD#: 30568 / SEC#: , 8-45012
Contact information
FINRA licenses (36 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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