William E. Grace
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 Edward Grace, who also goes by Ted Grace, Ted Rosenthal, William Edward Rosenthal, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1996. William had worked at 7 firms and has passed the Series 63, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 25, 2010 - March 22, 2016
SUSQUEHANNA FINANCIAL GROUP, LLLP
July 20, 2009 - June 2, 2010
AVONDALE PARTNERS, LLC
September 16, 2002 - July 24, 2009
GOLDMAN SACHS & CO. LLC
March 6, 2001 - September 6, 2002
BANC OF AMERICA SECURITIES LLC
May 3, 2000 - January 31, 2001
J.P. MORGAN SECURITIES INC.
June 3, 1998 - March 27, 2000
BANC OF AMERICA SECURITIES LLC
May 1, 1997 - June 22, 1998
UBS FINANCIAL SERVICES INC.
January 5, 1996 - March 25, 1997
KROLL SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SUSQUEHANNA FINANCIAL GROUP, LLLP
CRD#: 35865 / SEC#: , 8-44325
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 12 |
Red Flags
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