Maurice J. Willsey
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.
Maurice James Willsey, who also goes by James Willsey, Jim Willsey, was a registered financial professional .
Maurice is a previously registered financial professional and started their career in finance in 1993. Maurice had worked at 10 firms and has passed the Series 63, Series 55, Series 3, Series 7, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 2012 - April 9, 2012
M. S. HOWELLS & CO.
February 26, 2009 - January 9, 2012
WJB CAPITAL GROUP, INC.
June 23, 2005 - February 4, 2009
UNX LLC
July 7, 2003 - June 23, 2005
PULSE TRADING, INC.
October 15, 2001 - February 20, 2003
KNIGHT CAPITAL AMERICAS, L.P.
July 25, 2000 - December 19, 2000
J.P. MORGAN SECURITIES LLC
February 16, 1999 - March 21, 2000
JPMSI
October 20, 1995 - February 22, 1999
D.E. SHAW SECURITIES, L.L.C.
March 14, 1994 - October 12, 1995
LATTICE TRADING, INC.
April 12, 1993 - April 4, 1994
CREDIT SUISSE SECURITIES (USA) 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
Exams
Series 55
Date: 10/19/2001
Limited Representative-Equity Trader ExamCurrent Firm
M. S. HOWELLS & CO.
CRD#: 104100 / SEC#: , 8-52558
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MARK HOWELLS TRUST, DATED 6/25/1997, MARK HOWELLS TRUSTEE | OWNER | |
| SANTAMARIA, KATRINA PATRICIA | CHIEF EXECUTIVE OFFICER | 3248779 |
| CRITES, MARCY ANN | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP) | 6346298 |
| HOWELLS, MARK STEPHEN | TRUSTEE FOR MARK HOWELLS TRUST DATED 6/25/1997 | 726921 |
| HOWELLS, MARK STEPHEN | EXECUTIVE CHAIRMAN/DIRECTOR | 726921 |
| JORDAN, CHRISTOPHER SHANE | CHIEF COMPLIANCE OFFICER | 2843281 |
| KREIZENBECK, TARA LYNN | CHIEF OPERATING OFFICER | 7141895 |
Red Flags
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