William Hanisch
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 Hanisch, who also goes by William Abraham Hanisch, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1995. William had worked at 4 firms and has passed the Series 63, Series 56 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
September 6, 2013 - July 16, 2015
L & R TRADING L.L.C.
March 22, 2007 - October 10, 2013
THE GAUSSIAN GROUP, LLC
August 23, 1995 - December 22, 1995
J.P. MORGAN SECURITIES LLC
July 20, 1995 - August 4, 1995
NOMURA SECURITIES INTERNATIONAL, 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 56
Date: 6/29/2012
Proprietary Trader Qualification ExaminationCurrent Firm
L & R TRADING L.L.C.
CRD#: 45822 / SEC#: , 8-51225
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| L&R INVESTMENTS I, LLC | INVESTING MEMBER | |
| ROSENTHAL, STEPHEN SYDNEY | /INVESTING MEMBER | |
| LEE, IRA | MANAGING MEMBER/COMPLIANCE OFFICER | 5065542 |
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.
