William E. Cessnun
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 Ed Cessnun, who also goes by Bill E Cessnun, William E Cessnun, was a registered financial advisor .
William is a previously registered financial advisor and started their career in finance in 1992. William had worked at 9 firms and has passed the Series 66, Series 65, 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
October 2, 2008 - September 4, 2009
WADDELL & REED
October 1, 2008 - September 4, 2009
WADDELL & REED
August 14, 2008 - September 26, 2008
VALIC FINANCIAL ADVISORS, INC.
July 8, 2008 - September 26, 2008
VALIC FINANCIAL ADVISORS, INC.
February 2, 2005 - July 23, 2008
ALLSTATE FINANCIAL SERVICES, LLC
March 10, 2004 - August 24, 2004
THRIVENT INVESTMENT MANAGEMENT INC.
February 11, 2004 - August 24, 2004
THRIVENT INVESTMENT MANAGEMENT INC.
July 25, 2002 - February 2, 2004
ALLSTATE FINANCIAL SERVICES, LLC
November 30, 1998 - August 26, 2002
WEDBUSH SECURITIES INC.
September 1, 1994 - November 30, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 31, 1994 - April 13, 1994
KEY INVESTMENTS INC.
October 26, 1993 - July 30, 1994
SIGNATOR FINANCIAL SERVICES, INC.
September 17, 1992 - July 1, 1993
MORGAN STANLEY DW 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
Current Firm
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
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.
