William A. Fabio
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 Andrew Fabio, who also goes by Bill Fabio, William Fabio, William Andrew Parker, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1995. William had worked at 7 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
July 22, 1999 - November 19, 1999
SUNPOINT SECURITIES, INC.
November 4, 1996 - July 16, 1999
CONTINENTAL BROKER-DEALER CORP.
March 15, 1996 - September 25, 1996
GLOBAL FINANCIAL GROUP, INC.
February 15, 1996 - April 2, 1996
FIRST NATIONAL EQUITY, CORP.
August 18, 1995 - December 22, 1995
TOLUCA PACIFIC SECURITIES CORP.
June 23, 1995 - August 25, 1995
ATLANTIC GENERAL FINANCIAL CORP.
February 10, 1995 - July 25, 1995
INVESTORS ASSOCIATES, INC.
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
SUNPOINT SECURITIES, INC.
CRD#: 25442 / SEC#: , 8-41741
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEWIS, VAN ROBERSON | CEO/PRESIDENT/FOUNDER | 1562328 |
| CHILDERS, DIANNE BAILEY | VP COMPLIANCE | |
| HAGEN, BRETT WILLIAM | CHIEF OPERATIONS OFFICER | |
| KATZ, DONALD LESTER | FINOP/EXECUTIVE VICE PRESIDENT ACCOUNTING AND COMPLIANCE | |
| SAPAUGH, MARVIN WAYNE | EXECUTIVE V.P. OF INVESTMENT SERVICES |
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 1 |
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.
