William H. Boone
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 H Boone, who also goes by William Harrison Boone Jr, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1969. William had worked at 13 firms and has passed the Series 63, Series 7TO, SIE, PC, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2018 - August 31, 2022
A.G.P. / ALLIANCE GLOBAL PARTNERS
July 1, 2014 - March 16, 2018
OPPENHEIMER & CO. INC.
March 9, 2002 - July 8, 2014
RBC CAPITAL MARKETS, LLC
May 4, 1998 - March 9, 2002
TUCKER ANTHONY INCORPORATED
March 29, 1993 - May 5, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 26, 1987 - April 2, 1993
SCHRODER & CO. INC.
February 21, 1984 - April 13, 1987
CITIGROUP GLOBAL MARKETS INC.
March 24, 1980 - March 13, 1984
PERSHING LLC
January 31, 1980 - April 21, 1980
UBS FINANCIAL SERVICES INC.
January 9, 1979 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
September 26, 1978 - January 15, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 6, 1975 - September 26, 1978
WHITE, WELD & CO. INCORPORATED
May 16, 1973 - January 18, 1975
DEAN WITTER & CO. INCORPORATED
June 30, 1969 - May 16, 1973
DEAN WITTER & CO. INCORPORATED
Primary Firm SEC Registration
A.G.P. / ALLIANCE GLOBAL PARTNERS
CRD#: 8361 / SEC#: 801-70276, 8-25132
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 6/27/1977
AMEX Put and Call ExamSeries 000
Date: 4/24/1967
General Securities Principal ExaminationSeries 1
Date: 4/24/1967
Registered Representative ExaminationCurrent Firm
A.G.P. / ALLIANCE GLOBAL PARTNERS
CRD#: 8361 / SEC#: 801-70276, 8-25132
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANCE GLOBAL HOLDINGS, INC. | HOLDING COMPANY | |
| GAMBARDELLA, RAFFAELE | COO/CHIEF RISK OFFICER | 2448073 |
| HIGGINS, THOMAS JOSEPH | PRINCIPAL OPERATIONS OFFICER | 1477505 |
| KLEIN, CRAIG ERIN | CFO, PRINCIPAL FINANCIAL OFFICER | 3253836 |
| LAURIELLO, ANTHONY JOSEPH | MUNICIPAL SECURITIES PRINCIPAL | 1086881 |
| MICHALS, PHILLIP WILLIAM | CHIEF EXECUTIVE OFFICER | 2414124 |
| VENEZIA, JOHN JOSEPH | CHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA | 2737135 |
Regulatory assets under management
| Total Number of Accounts | 6,959 |
| AUM (Assets Under Management) | $ 2,300,125,872 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 3 |
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.
