William M. Richmond
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2000 - March 28, 2001
WEATHERLY SECURITIES CORPORATION
July 22, 1997 - November 18, 1999
TASIN & COMPANY, INC.
July 27, 1995 - July 8, 1997
H G I
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
WEATHERLY SECURITIES CORPORATION
CRD#: 11081 / SEC#: , 8-29003
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEATHERLY INTERNATIONAL, PLC | HOLDING COMPANY | |
| GEORGE, KENNETH RONALD | FINOP | |
| MARKS, KENNETH RYAN | VICE CHAIRMAN | 4479881 |
| MCKIERNAN, THOMAS ANTHONY | DIRECTOR OF OPERATIONS | |
| NAJARIAN, JACK GEORGE | CEO / CHAIRMAN | 2883669 |
| ODENTHAL, WILLIAM JOHN | CHIEF OPERATING OFFICER / PRESIDENT | 1345266 |
| SIERRA, JOE | BRANCH MANAGER / CHIEF ADMINISTRATIVE OFFICER | 1947654 |
| VITALE, ANTHONY VINCENT | HEAD OF TRADING | 2623131 |
| WARD, MICHAEL DAVID | MSRP - BOND PRINCIPAL | 1425173 |
| WILSON, JOHN JAMES | DIRECTOR OF COMPLIANCE |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
