William M. Carson
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 Mcclintock Carson, who also goes by Bill Carson, 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, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 2009 - May 2, 2012
STERN FISHER EDWARDS INC
February 29, 2008 - April 29, 2009
CHERTOFF CAPITAL, LLC
April 25, 2005 - March 5, 2007
NBF SECURITIES (USA) CORP.
March 12, 2003 - March 5, 2007
NATIONAL BANK OF CANADA FINANCIAL INC.
January 7, 2002 - November 4, 2002
FULCRUM GLOBAL PARTNERS LLC
April 30, 2001 - May 29, 2001
ABN AMRO INCORPORATED
April 26, 1995 - April 30, 2001
ABN AMRO SECURITIES LLC
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
STERN FISHER EDWARDS INC
CRD#: 7548 / SEC#: , 8-22274
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KMETT, JON MICHAEL | PRESIDENT, DIRECTOR AND CFO | 1918840 |
| BOHLEN, CHARLES EUSTIS JR. | CHIEF INVESTMENT OFFICER, DIRECTOR | 2593273 |
| MCCASLAND, TERI MAY | VP, DIRECTOR, CHIEF COMPLIANCE OFFICER | 1005907 |
| MOYLAN, JAMES THOMAS | DIRECTOR | 5292132 |
| THOMSEN, DAVID JOHN | DIRECTOR | 4809052 |
| FISHER, EARL WEBSTER JR | CHAIRMAN | 208574 |
| EDWARDS, FRED MAX JR | VICE CHAIRMAN | 75773 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 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.
