William Flinn
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 Flinn, who also goes by William Flinn III, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1994. William had worked at 7 firms and has passed the Series 63, SIE 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
May 9, 2017 - July 27, 2018
HEADWATERS BD, LLC
November 11, 2013 - January 10, 2017
AEGIS CAPITAL CORP.
September 23, 2010 - November 9, 2011
RANGE GLOBAL LLC
April 8, 2010 - September 22, 2010
ATLANTIC EQUITIES, LLC
April 10, 2000 - December 31, 2000
FORESIDE FUNDS DISTRIBUTORS LLC
June 25, 1997 - October 22, 1998
NEEDHAM & COMPANY, LLC
October 14, 1994 - October 19, 1995
BARCLAYS CAPITAL INC.
State Registrations and Notice Filings
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Exams
Current Firm
HEADWATERS BD, LLC
CRD#: 117042 / SEC#: , 8-53582
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
