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WB

William H. Besgen

ALT FUND DISTRIBUTORS LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 2616565
WB

Professional summary

William Henry Besgen Jr., who also goes by Bill Besgen Jr, William Henry Besgen Jr, William Henry Besgen Jr., William Henry Besgen, is a registered financial professional currently at ALT FUND DISTRIBUTORS LLC located in New York, New York.

William is registered as a RR (Registered Representative) and started their career in finance in 1995. William has worked at 8 firms and has passed the Series 63, Series 65, Series 66, SIE, Series 7, Series 6, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bill Besgen Jr | William Henry Besgen Jr | William Henry Besgen Jr. | William Henry Besgen

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) - BD

Click below to view William Henry Besgen Jr.'s CRS (Customer Relationship Summary).

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

Current

January 2, 2015 - Present

ALT FUND DISTRIBUTORS LLC

Office #1: 140 East 45th Street Suite 15 B, New York, NY 10017
BD
CRD#: 146547
New York, NY
Past

June 20, 2014 - December 31, 2014

MIDAMERICA FINANCIAL SERVICES, INC.

BD
CRD#: 47351
New York, NY
Past

November 11, 2010 - May 8, 2012

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NORFOLK, VA
Past

November 1, 2010 - May 8, 2012

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
NORFOLK, VA
Past

July 18, 2005 - June 29, 2009

CAPITAL CLIENT GROUP, INC.

BD
CRD#: 6247
NORFOLK, VA
Past

March 7, 2002 - March 11, 2004

GLOBAL ATLANTIC DISTRIBUTORS, LLC

BD
CRD#: 8326
HARTFORD, CT
Past

November 5, 1999 - March 20, 2002

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

April 24, 1997 - October 26, 1999

INVESCO CAPITAL MARKETS, INC.

BD
CRD#: 6939
HOUSTON, TX
Past

August 9, 1995 - April 4, 1997

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
CHICAGO, IL

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(1/23/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 7/14/2014
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/18/2011
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 3/8/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/7/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/15/1995
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 7/3/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 5/23/2001
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

AF
ALT FUND DISTRIBUTORS LLC
ALT FUND DISTRIBUTORS LLC | CATALYST MUTUALS FUND DISTRIBUTORS LLC | CAPITAL REAL ESTATE SECURITIES, LLC | ASCENT REAL ESTATE SECURITIES, LLC | ASCENT REAL ESTATE SECURITIES LLC

CRD#: 146547 / SEC#: , 8-67829

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
140 East 45th Street Suite 15 B, New York, NY 10017
Mailing Address
140 East 45th Street Suite 15 B, New York, NY 10017
Phone number
(646) 757-8062
Established
Colorado since 12/18/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MFUND DISTRIBUTORS LLCOWNER
MEEHAN, KEVIN PATRICKCCO, FINOP4652695
MILDER, LARRY IRWINCEO1306646

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

ALT FUND DISTRIBUTORS LLC

CRD#: 146547New York, NY 10017

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