William P. Dubow
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 Paul Dubow was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2005. William had worked at 5 firms and has passed the Series 7TO, Series 57TO, SIE, Series 56, Series 44 and Series 45 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2020 - April 19, 2021
CASEY SECURITIES LLC
December 1, 2014 - August 5, 2015
SUMO CAPITAL, LLC
November 7, 2011 - April 30, 2012
CUTLER GROUP, LLC
October 13, 2011 - December 8, 2011
TRAUB TRADING, LLC
May 11, 2005 - June 8, 2005
DUBOW, WILLIAM P
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 12/12/2020
General Securities Representative ExaminationSeries 57TO
Date: 10/16/2020
Securities Trader ExamSeries 56
Date: 12/1/2014
Proprietary Trader Qualification ExaminationSeries 44
Date: 12/23/2011
PCX Market Maker ExamSeries 45
Date: 6/9/1992
PCX Floor Broker ExamCurrent Firm
CASEY SECURITIES LLC
CRD#: 35230 / SEC#: , 8-21205
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 19 |
Red Flags
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