William D. Happ
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 David Happ was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1969. William had worked at 8 firms and has passed the Series 65, Series 63, Series 1, Series 24 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2007 - December 18, 2012
FINANCIAL TELESIS INC
September 8, 1994 - December 11, 2007
MANAGED INVESTMENTS, INC.
November 5, 1992 - September 13, 1994
IFG NETWORK SECURITIES, INC.
November 11, 1985 - December 31, 1992
PLANNED INVESTMENTS INC.
May 19, 1978 - September 8, 1982
KIDDER, PEABODY & CO. INCORPORATED
May 5, 1975 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
April 19, 1971 - June 17, 1975
SHEARSON HAYDEN STONE INC.
June 26, 1969 - March 3, 1972
MEYERSON & CO., INCORPORATED
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 1
Date: 6/29/1959
Registered Representative ExaminationSeries 00
Date: 1/25/1968
General Securities Principal ExaminationCurrent Firm
FINANCIAL TELESIS INC
CRD#: 31012 / SEC#: 801-63974, 8-45304
Contact information
FINRA licenses (6 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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