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William J. Tobias

Some features on this profile are disabled
CRD#: 2622866
WT

Professional summary

William John Tobias was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

William is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, William had worked at 5 firms, which includes TAFFERER TRADING LLC, HOLD BROTHERS CAPITAL LLC, SODALITE FINANCIAL SERVICES LLC, SPIKE FINANCIAL SERVICES LLC, TRINIX SECURITIES LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 20, 2012 - October 12, 2012

TAFFERER TRADING, LLC

BD
CRD#: 36816
NEW YORK, NY
Past

August 20, 2012 - October 15, 2012

HOLD BROTHERS CAPITAL LLC

BD
CRD#: 151864
NEW YORK, NY
Past

January 20, 2009 - October 15, 2012

SODALITE FINANCIAL SERVICES, LLC

BD
CRD#: 136668
NEW YORK, NY
Past

September 27, 2005 - October 9, 2006

SPIKE FINANCIAL SERVICES, LLC

BD
CRD#: 112193
CHICAGO, IL
Past

February 1, 2005 - August 4, 2005

TRINIX SECURITIES LLC

BD
CRD#: 103360
ENCINITAS, CA
Past

April 1, 2003 - January 10, 2005

TAFFERER TRADING, LLC

BD
CRD#: 36816
NEW YORK, NY
Past

June 13, 1995 - April 3, 2001

TAFFERER TRADING, LLC

BD
CRD#: 36816
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/13/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 1/27/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 6/12/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 11/10/2003
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 28
Date: 5/19/1999
Introducing Broker/Dealer Financial Operations Principal Examination

Current Firm

TT
TAFFERER TRADING, LLC
HOLD BROTHERS ON-LINE INVESTMENT SERVICES INC. | TAFFERER TRADING, LLC | ON-LINE INVESTMENT SERVICES, INC. | HOLD BROTHERS ON-LINE INVESTMENT SERVICES L.L.C.

CRD#: 36816 / SEC#: , 8-47474

BD
Terminated by SEC on 02/18/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 06/25/2002
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
HOLD BROTHERS INC.HOLDING CORPORATION
HOLD, GREGORY FRANCISCHIEF EXECUTIVE OFFICER2169408

Disclosures

Regulatory Event29
Civil Event1
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

TAFFERER TRADING, LLC

CRD#: 36816

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