William P. Stern
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 Paul Stern, who also goes by Billy Stern, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1996. William had worked at 3 firms and has passed the Series 65, Series 63, Series 55 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
March 26, 2010 - December 8, 2021
SIGNALWISE LLC
August 25, 1997 - April 21, 2003
JEFFERIES LLC
December 2, 1996 - August 22, 1997
HILLTOP SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Series 55
Date: 12/28/1998
Limited Representative-Equity Trader ExamCurrent Firm
SIGNALWISE LLC
CRD#: 152735 / SEC#:
Contact information
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.
