William A. Horrocks
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 Alfred Horrocks was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1969. William had worked at 9 firms and has passed the Series 65, Series 63, SIE 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
May 20, 2015 - October 9, 2018
TIMESCALE FINANCIAL, INC.
June 21, 1995 - January 7, 2017
LPL FINANCIAL LLC
December 16, 1989 - November 7, 2017
LPL FINANCIAL LLC
March 9, 1989 - December 16, 1989
LINSCO FINANCIAL GROUP, INC.
September 20, 1983 - March 29, 1989
FINANCIAL CONSULTANTS, INC.
January 4, 1980 - August 16, 1983
CITISTREET EQUITIES LLC
June 12, 1979 - March 12, 1980
VARIABLE ANNUITY SALES CORPORATION
October 3, 1974 - July 21, 1979
HIMCO DISTRIBUTION SERVICES COMPANY
January 12, 1973 - August 20, 1974
HARTFORD VARIABLE ANNUITY LIFE LIFE INSURANCE COMPANY
June 26, 1969 - April 29, 1973
OPPENHEIMER ASSET MANAGEMENT CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 00
Date: 3/29/1968
General Securities Principal ExaminationCurrent Firm
TIMESCALE FINANCIAL, INC.
CRD#: 186511 / SEC#: 801-87168
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,447 |
| AUM (Assets Under Management) | $ 717,284,707 |
Red Flags
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