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WR

William M. Richmond

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CRD#: 2574934
WR

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 Michael Richmond, who also goes by Bill Richmond, William M Richmond, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1995. William had worked at 3 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bill Richmond | William M Richmond

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 3, 2000 - March 28, 2001

WEATHERLY SECURITIES CORPORATION

BD
CRD#: 11081
NEW YORK, NY
Past

July 22, 1997 - November 18, 1999

TASIN & COMPANY, INC.

BD
CRD#: 30709
HAUPPAUGE, NY
Past

July 27, 1995 - July 8, 1997

H G I

BD
CRD#: 14079
JERICHO, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/20/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/6/1995
General Securities Representative Examination

Current Firm

WS
WEATHERLY SECURITIES CORPORATION
WEATHERLY SECURITIES CORPORATION

CRD#: 11081 / SEC#: , 8-29003

BD
Terminated by SEC on 11/05/2002
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 07/26/1982
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WEATHERLY INTERNATIONAL, PLCHOLDING COMPANY
GEORGE, KENNETH RONALDFINOP
MARKS, KENNETH RYANVICE CHAIRMAN4479881
MCKIERNAN, THOMAS ANTHONYDIRECTOR OF OPERATIONS
NAJARIAN, JACK GEORGECEO / CHAIRMAN2883669
ODENTHAL, WILLIAM JOHNCHIEF OPERATING OFFICER / PRESIDENT1345266
SIERRA, JOEBRANCH MANAGER / CHIEF ADMINISTRATIVE OFFICER1947654
VITALE, ANTHONY VINCENTHEAD OF TRADING2623131
WARD, MICHAEL DAVIDMSRP - BOND PRINCIPAL1425173
WILSON, JOHN JAMESDIRECTOR OF COMPLIANCE

Disclosures

Regulatory Event12
Arbitration2

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.

Company Information

WEATHERLY SECURITIES CORPORATION

CRD#: 11081

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