William D. Sergautis
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 David Sergautis was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1994. William had worked at 5 firms and has passed the Series 66, Series 63, Series 3, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2012 - December 31, 2013
GROWTHVEST
March 30, 2012 - December 31, 2025
GROWTHVEST
February 1, 2011 - December 31, 2011
GROWTHVEST
July 20, 2007 - December 31, 2010
GROWTHVEST
February 4, 2004 - December 31, 2005
BROOKSTREET SECURITIES CORPORATION
January 14, 2004 - December 31, 2005
BROOKSTREET SECURITIES CORPORATION
February 2, 2001 - December 9, 2003
CARDINAL CAPITAL MANAGEMENT, INC.
April 12, 1995 - May 3, 2001
R.K. GRACE & COMPANY
September 22, 1994 - April 28, 1995
WORLD INVEST CORPORATION
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
GROWTHVEST
CRD#: 143645 / SEC#:
Contact information
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.
