William K. Lavin

WALL STREET ACCESS

New York, NY 10005

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CRD#: 2703117

Professional summary

William Kane Lavin JR, who also goes by William Kane Lavin, is a registered financial professional currently at WALL STREET ACCESS located in New York, New York.

William is registered as a RR (Registered Representative) and started their career in finance in 1996. William has worked at 4 firms and has passed the Series 63, Series 52TO, Series 99TO, Series 79TO, Series 57TO, Series 3, SIE, Series 55, Series 7, Series 53, Series 14, Series 10, Series 9, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

William Kane Lavin

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) - BD

Click below to view William Kane Lavin JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

February 4, 1997 - Present

WALL STREET ACCESS

Office #1: 100 Wall Street, Suite 804, New York, NY 10005

CRD#: 10012

New York, NY

Past

July 9, 2008 - November 13, 2012

WSA FIXED INCOME, LLC

CRD#: 145544

NEW YORK, NY

Past

July 17, 1996 - December 11, 1996

THE BOSTON GROUP

CRD#: 37652

LOS ANGELES, CA

Past

February 9, 1996 - August 13, 1996

ROYCE INVESTMENT GROUP, INC.

CRD#: 10494

WOODBURY, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(2/6/1998)

Alaska
(2/6/1998)

Arizona
(2/9/1998)

Arkansas
(2/9/1998)

California
(2/6/1998)

Colorado
(2/6/1998)

Connecticut
(2/6/1998)

Delaware
(2/6/1998)

District of Columbia
(2/9/1998)

Florida
(2/17/1998)

Georgia
(2/6/1998)

Hawaii
(3/3/1998)

Idaho
(2/6/1998)

Illinois
(2/6/1998)

Indiana
(2/6/1998)

Iowa
(2/9/1998)

Kansas
(2/6/1998)

Kentucky
(2/9/1998)

Louisiana
(2/9/1998)

Maine
(2/9/1998)

Maryland
(2/6/1998)

Massachusetts
(2/6/1998)

Michigan
(2/12/1998)

Minnesota
(2/9/1998)

Mississippi
(2/9/1998)

Missouri
(2/6/1998)

Montana
(2/9/1998)

Nebraska
(2/6/1998)

Nevada
(2/6/1998)

New Hampshire
(2/6/1998)

New Jersey
(2/9/1998)

New Mexico
(2/9/1998)

New York
(2/4/1997)

North Carolina
(2/9/1998)

North Dakota
(2/13/1998)

Ohio
(2/9/1998)

Oklahoma
(2/6/1998)

Oregon
(2/6/1998)

Pennsylvania
(2/6/1998)

Puerto Rico
(2/6/1998)

Rhode Island
(2/9/1998)

South Carolina
(2/9/1998)

South Dakota
(2/11/1998)

Tennessee
(8/9/2000)

Texas
(2/6/1998)

Utah
(2/6/1998)

Vermont
(2/9/1998)

Virginia
(2/9/1998)

Washington
(2/6/1998)

West Virginia
(2/9/1998)

Wisconsin
(2/10/1998)

Wyoming
(2/11/1998)

Registered Options Principal Examination

Current Firm

WALL STREET ACCESS

WALL STREET ACCESS | WALL STREET INVESTOR SERVICES | WALL STREET CLEARING COMPANY

CRD#: 10012 / SEC#: , 8-25936

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

100 Wall Street, Suite 804, New York, NY 10005

Mailing Address

100 Wall Street, Suite 804, New York, NY 10005

Phone number

(212) 709-9400

Established

New York since 02/01/1981

Firm type

Partnership

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
DPK SECURITIES, LLC	98% OWNER/GENERAL PARTNER
DENIS P. KELLEHER, LLC	2% OWNER/GENERAL PARTNER
GOETCHIUS, ARTHUR LEROY	CHIEF EXECUTIVE OFFICER	1374251
KELLEHER, SEAN MICHAEL	PRESIDENT	1726997
LAVIN, WILLIAM KANE JR	EXECUTIVE MANAGING DIRECTOR / ROSFP	2703117
MITCHELL, JOHN LOUIS	CHIEF FINANCIAL OFFICER / FINOP	2193524
O'CONNELL, JOHN PATRICK	ASSISTANT CONTROLLER	4698479
VISCOVICH, GREGORY DOMINIC	CHIEF COMPLIANCE OFFICER	2621348

Disclosures

Regulatory Event	19
Arbitration	15

Red Flags

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William K. Lavin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Kane Lavin JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

WSA FIXED INCOME, LLC

THE BOSTON GROUP

ROYCE INVESTMENT GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/15/1996

Series 52TO

Date: 9/25/2025

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

Series 3

Date: 10/28/2019

SIE

Date: 10/1/2018

Series 55

Date: 4/14/2000

Series 7

Date: 2/8/1996

Series 53

Date: 9/5/2006

Series 14

Date: 8/30/2000

Series 10

Date: 8/15/2000

Series 9

Date: 7/14/2000

Series 24

Date: 2/12/2000

Series 4

Date: 6/11/1997

FINRA

NYSE American LLC

NYSE Arca, Inc.

Nasdaq BX, Inc.

Nasdaq Stock Market

New York Stock Exchange

Current Firm

WALL STREET ACCESS

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

WALL STREET ACCESS

TRUST BUT VERIFY

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