William H. Duckfield
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 Henry Duckfield, who also goes by William Henry Duckfield III, William Henry Duckfield Jr, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1994. William had worked at 8 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2011 - October 2, 2013
MANTARAX, LLC
June 5, 2009 - October 15, 2010
TS IMAGINE BROKERAGE SERVICES, LLC
May 12, 2006 - March 12, 2008
G1 EXECUTION SERVICES, LLC
February 14, 2006 - May 19, 2006
LAVA TRADING, INC.
January 3, 2005 - February 14, 2006
CITIGROUP GLOBAL MARKETS INC.
March 28, 2000 - May 13, 2002
INET ATS, INC.
July 18, 1997 - March 17, 2000
HARRISDIRECT LLC
August 11, 1994 - February 18, 1997
CONTINENTAL BROKER-DEALER CORP.
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 55
Date: 2/18/2005
Limited Representative-Equity Trader ExamCurrent Firm
MANTARAX, LLC
CRD#: 150450 / SEC#: , 8-68259
Contact information
Documents
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.
