William A. Nevitt
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 Alexander Nevitt, who also goes by Bill A Nevitt, William Alexander Nevitt III, was a registered financial advisor .
William is a previously registered financial advisor and started their career in finance in 2000. William had worked at 6 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 25 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
November 8, 2021 - August 5, 2025
PERSHING LLC
April 8, 2016 - August 5, 2025
PERSHING ADVISOR SOLUTIONS LLC
July 30, 2009 - July 7, 2015
ABN AMRO CLEARING USA LLC
March 10, 2009 - June 18, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
March 4, 2009 - June 18, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
January 8, 2009 - February 25, 2009
EDWARD JONES
November 3, 2008 - February 25, 2009
EDWARD JONES
October 1, 2000 - August 27, 2008
HALCYON CABOT PARTNERS, LTD.
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 52TO
Date: 7/31/2023
Municipal Securities Representative ExaminationSeries 25
Date: 12/9/1999
NYSE Trading Assistant ExaminationCurrent Firm
PERSHING LLC
CRD#: 7560 / SEC#: , 8-17574
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PERSHING GROUP LLC | HOLDING COMPANY | |
| BADGER, ERIC CHRISTOPHER | BOARD MEMBER | 8040351 |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | BOARD MEMBER, PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| KEARNEY, JAMES FRANCIS III | BOARD MEMBER | 6388373 |
| LOFLING, JASON ROBERT | BOARD MEMBER, CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 5177277 |
| MAJIYAGBE, ELIZABETH OLAIDE | BOARD MEMBER | 7013772 |
| O'LAUGHLEN, VICTOR FRANCIS JR | BOARD MEMBER | 8041737 |
| SIMMONDS, AINSLIE JANE | BOARD MEMBER | 6047968 |
| VITALE, JASON DOMINICK | BOARD MEMBER | 8038160 |
| YOUNG, LYNN MARIE | CHIEF COMPLIANCE OFFICER | 1982726 |
Disclosures
| Regulatory Event | 74 |
| Arbitration | 32 |
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.
