William P. Mountain
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 Patrick Mountain, who also goes by Bill Mountain, 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, SIE, Series 7, Series 52 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
March 28, 2016 - May 7, 2020
TONTINE INVESTMENT GROUP, LLC
September 26, 2013 - January 3, 2014
TONTINE INVESTMENT GROUP, LLC
July 1, 2005 - December 6, 2010
AFFILIATED FUNDING CORP.
January 28, 2005 - June 28, 2005
FARRAND INVESTMENT BANKERS
October 17, 2003 - August 6, 2004
KOVACK SECURITIES INC.
June 7, 2001 - January 17, 2002
LIFEMARK SECURITIES CORP.
August 23, 2000 - April 10, 2001
MONY SECURITIES CORPORATION
August 31, 1995 - August 31, 2000
AMERIPRISE ADVISOR SERVICES, 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
Current Firm
TONTINE INVESTMENT GROUP, LLC
CRD#: 155457 / SEC#: , 8-68717
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CXG HOLDINGS, LLC | OWNER | |
| DRISCOLL, CHRISTOPHER D | CEO/CCO/FINOP | 4716573 |
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.
