William C. Thompson
Professional summary
William Colridge Thompson JR, who also goes by William Thompson Jr, is a registered financial professional currently at SIEBERT WILLIAMS SHANK & CO., LLC located in New York, New York.
William is registered as a RR (Registered Representative) and started their career in finance in 1994. William has worked at 3 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Colridge Thompson JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 21, 2013 - Present
SIEBERT WILLIAMS SHANK & CO., LLC
Office #1: 100 Wall Street 18th Floor, New York, NY 10005June 14, 2010 - April 2, 2013
SIEBERT WILLIAMS SHANK & CO., LLC
April 20, 1998 - May 21, 2001
BEREAN CAPITAL INCORPORATED
May 31, 1994 - May 1, 1996
GEORGE K. BAUM & COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/21/2013)
(11/22/2013)
(12/19/2013)
(12/16/2013)
(1/23/2014)
(11/26/2013)
(11/22/2013)
(12/16/2013)
(1/2/2014)
(12/16/2013)
(11/21/2013)
(11/21/2013)
(11/22/2013)
(11/26/2013)
(11/21/2013)
(12/17/2013)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
SIEBERT WILLIAMS SHANK & CO., LLC
CRD#: 42568 / SEC#: , 8-49877
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SHANK WILLIAMS CISNEROS, LLC | OWNER | |
| CALABRISOTTO, DIANNE NMN | AML OFFICER | 1273900 |
| CALABRISOTTO, DIANNE NMN | CHIEF COMPLIANCE OFFICER & COO | 1273900 |
| CHANDA, ATEESH SINGH | CHIEF LEGAL OFFICER | 6973151 |
| DIAZ, DANIEL | FINANCIAL PRINCIPAL | 2214417 |
| HALL, GARY | CO-PRESIDENT | 4393662 |
| SHANK-WERDLOW, SUZANNE FRANCES | CEO, DIRECTOR OF PARENT | 1860931 |
| THOMPSON, WILLIAM COLRIDGE JR | CHIEF ADMINISTRATIVE OFFICER | 2316101 |
| WARNER, SOBANI MULENGA | CO-PRESIDENT | 1732009 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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