William G. Mcduffee
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 Gilbert Mcduffee, who also goes by Bill Mcduffee, 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 57TO, Series 7TO, SIE, 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
September 23, 2020 - January 5, 2021
WHITAKER SECURITIES LLC
December 9, 2009 - October 18, 2018
TULLETT PREBON FINANCIAL SERVICES LLC
February 11, 2009 - December 9, 2009
W.A. CAPITAL MARKETS
March 26, 2007 - January 29, 2009
W.A. CAPITAL MARKETS
December 7, 2001 - April 16, 2007
SEABOARD SECURITIES, INC.
May 23, 2000 - December 3, 2001
HERZOG, HEINE, GEDULD, LLC
March 4, 1998 - June 12, 2000
LEHMAN BROTHERS INC.
February 13, 1996 - January 7, 1998
CIBC WORLD MARKETS CORP.
November 22, 1995 - March 6, 1996
PARAGON CAPITAL MARKETS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 55
Date: 10/7/2000
Limited Representative-Equity Trader ExamCurrent Firm
WHITAKER SECURITIES LLC
CRD#: 121465 / SEC#: , 8-65419
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NICOSIA, ROSALIE MARGARET | CHIEF COMPLIANCE OFFICER, CRCP | 4239124 |
Disclosures
| Regulatory Event | 6 |
Red Flags
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