WS
William P. Slimbaugh
NATIXIS DISTRIBUTION
Duxbury, MA
Some features on this profile are disabled
CRD#: 2385803
WS
Professional summary
William Paul Slimbaugh III, AIF®, who also goes by William P III Slimbaugh, is a registered financial professional currently at NATIXIS DISTRIBUTION, LLC located in Duxbury, Massachusetts.
William is registered as a RR (Registered Representative) and started their career in finance in 1993. William has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
William P Iii Slimbaugh
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view William Paul Slimbaugh III's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
March 5, 2015 - Present
NATIXIS DISTRIBUTION, LLC
BD
CRD#: 34754
Duxbury, MA
Past
June 1, 2009 - March 3, 2015
MORGAN STANLEY
BD
CRD#: 149777
NORWELL, MA
Past
May 18, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NORWELL, MA
Past
December 19, 2003 - June 5, 2007
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
HINGHAM, MA
Past
October 6, 2003 - December 16, 2003
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Past
March 30, 1998 - June 13, 2003
PACIFIC SELECT DISTRIBUTORS, LLC
BD
CRD#: 4452
NEWPORT BEACH, CA
Past
December 17, 1993 - April 1, 1998
STATE STREET RESEARCH INVESTMENT SERVICES, INC.
BD
CRD#: 17580
BOSTON, MA
Past
October 6, 1993 - April 30, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
October 6, 1993 - April 30, 1994
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/5/2018)
RR
Alaska(1/5/2018)
RR
Arizona(1/5/2018)
RR
Arkansas(1/5/2018)
RR
California(1/5/2018)
RR
Colorado(1/5/2018)
RR
Connecticut(9/2/2015)
RR
Delaware(1/5/2018)
RR
District of Columbia(1/5/2018)
RR
Florida(1/5/2018)
RR
Georgia(1/5/2018)
RR
Hawaii(1/5/2018)
RR
Idaho(1/5/2018)
RR
Illinois(1/5/2018)
RR
Indiana(1/5/2018)
RR
Iowa(1/5/2018)
RR
Kansas(1/5/2018)
RR
Kentucky(1/5/2018)
RR
Louisiana(1/5/2018)
RR
Maine(9/2/2015)
RR
Maryland(1/5/2018)
RR
Massachusetts(3/5/2015)
RR
Michigan(1/5/2018)
RR
Minnesota(1/5/2018)
RR
Mississippi(1/5/2018)
RR
Missouri(1/5/2018)
RR
Montana(1/5/2018)
RR
Nebraska(1/5/2018)
RR
Nevada(1/5/2018)
RR
New Hampshire(9/2/2015)
RR
New Jersey(9/2/2015)
RR
New Mexico(1/5/2018)
RR
New York(9/2/2015)
RR
North Carolina(1/5/2018)
RR
North Dakota(1/5/2018)
RR
Ohio(1/5/2018)
RR
Oklahoma(1/5/2018)
RR
Oregon(1/5/2018)
RR
Pennsylvania(9/2/2015)
RR
Puerto Rico(1/5/2018)
RR
Rhode Island(9/2/2015)
RR
South Carolina(1/5/2018)
RR
South Dakota(1/5/2018)
RR
Tennessee(1/5/2018)
RR
Texas(1/5/2018)
RR
Utah(1/5/2018)
RR
Vermont(9/2/2015)
RR
Virginia(1/5/2018)
RR
Washington(1/5/2018)
RR
West Virginia(1/5/2018)
RR
Wisconsin(1/5/2018)
RR
Wyoming(1/5/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
ND
NATIXIS DISTRIBUTION, LLC
CDC IXIS ASSET MANAGEMENT DISTRIBUTORS, L.P. | TNE INVESTMENT SERVICES, L.P. | NVEST FUNDS DISTRIBUTOR, L.P. | NGAM DISTRIBUTION, L.P. | NEW ENGLAND FUNDS, L.P. | NATIXIS DISTRIBUTORS, L.P. | NATIXIS DISTRIBUTION, LLC | NATIXIS DISTRIBUTION, L.P. | IXIS ASSET MANAGEMENT DISTRIBUTORS, L.P.
CRD#: 34754 / SEC#: , 8-46325
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
888 Boylston Street Suite 800, Boston, MA 02199-8197
Mailing Address
888 Boylston Street Suite 800, Boston, MA 02199-8197
Phone number
(617) 449-2828
Established
Delaware since 07/23/1993
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIXIS INVESTMENT MANAGERS, LLC | SOLE MEMBER | |
| GIUNTA, DAVID LAWRENCE | PRESIDENT, CHIEF EXECUTIVE OFFICER | 2290469 |
| LOUREIRO, ANTHONY DAVID | CHIEF COMPLIANCE OFFICER | 2087464 |
| PINASMITH, BEATRIZ ANA | EXECUTIVE VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER | 2220599 |
| ROSH, MARILYN VINTON | SENIOR VICE PRESIDENT, PRINCIPAL OPERATIONS OFFICER | 4206001 |
| TOBIN, SUSAN MCWHAN | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL | 4649471 |
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.
