William J. Sterling
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 James Sterling, who also goes by Will Sterling, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1995. William had worked at 8 firms and has passed the Series 63, Series 55, 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
July 8, 2011 - June 28, 2013
OBD SECURITIES LLC
July 6, 2011 - February 24, 2012
RONIN CAPITAL, LLC
July 24, 2003 - June 2, 2009
UBS SECURITIES LLC
January 2, 2003 - July 28, 2003
NASDAQ CAPITAL MARKETS ADVISORY LLC
November 14, 2002 - July 28, 2003
INSTINET, LLC
November 14, 2002 - July 28, 2003
INSTINET, LLC
February 25, 1998 - July 28, 2003
INET ATS, INC.
September 7, 1995 - August 15, 1997
BLOCK TRADING 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
Series 55
Date: 9/26/2000
Limited Representative-Equity Trader ExamCurrent Firm
OBD SECURITIES LLC
CRD#: 153008 / SEC#: , 8-68497
Contact information
Documents
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.
