William J. Spina
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 Joseph Spina, who also goes by Bill Spina, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1995. William had worked at 7 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2005 - June 22, 2006
SECURITY RESEARCH ASSOCIATES, INC.
January 3, 2005 - January 28, 2005
ROCKHOUSE SECURITIES LLC
July 1, 2002 - December 4, 2003
C. L. KING & ASSOCIATES, INC.
January 14, 2002 - April 23, 2002
FULCRUM GLOBAL PARTNERS LLC
February 1, 2000 - August 23, 2001
J.P. MORGAN SECURITIES INC.
April 12, 1996 - February 1, 2000
HAMBRECHT & QUIST LLC
March 14, 1995 - March 20, 1996
OSCAR GRUSS & SON 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
Current Firm
SECURITY RESEARCH ASSOCIATES, INC.
CRD#: 8200 / SEC#: , 8-24626
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SWIFT, BRIAN GARNER | CHAIRMAN | 441317 |
| COLLINS, TIMOTHY | PRESIDENT, CHIEF COMPLIANCE OFFICER & MANAGING DIRECTOR - CAPITAL MARKETS | 51366 |
| DE-JOUNGE, ANDERS ARENDT | OWNER | 2318841 |
| MAGOWAN, JAMES BASIL | OWNER | 5781647 |
| HAMILTON, GARY LEE | OWNER & SECRETARY | 4851778 |
| KLAGES, WILLIAM ALBERT | OWNER | 4748921 |
| LEWIS, CRAIG STOUT | OWNER | 5501107 |
Disclosures
| Regulatory Event | 7 |
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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