William A. Iommi
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 Anthony Iommi SR, who also goes by William Anthony Iommi, William Anthony Iommi Sr, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1995. William had worked at 5 firms and has passed the Series 65, Series 63, Series 87, Series 24, Series 14 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2003 - June 1, 2012
RODMAN & RENSHAW, LLC
September 3, 2002 - October 8, 2003
EAGLE RIDGE SECURITIES, INC.
July 26, 2002 - November 5, 2002
LAIDLAW & COMPANY (UK) LTD.
June 9, 2000 - November 4, 2002
SANDS BROTHERS & CO., LTD.
January 10, 1995 - June 28, 2000
CITIGROUP GLOBAL MARKETS INC.
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 8
Date: 11/12/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RODMAN & RENSHAW, LLC
CRD#: 16415 / SEC#: , 8-33862
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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