William P. Lynn
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 Peter Lynn, who also goes by Bill Lynn, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1996. William had worked at 5 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2022 - July 18, 2022
COMPASS DISTRIBUTORS, LLC
January 23, 2018 - May 1, 2019
RELIANCE WORLDWIDE INVESTMENTS, LLC
March 12, 2015 - December 31, 2017
WEALTHFORGE SECURITIES, LLC
May 13, 1997 - August 12, 2002
SEI INVESTMENTS DISTRIBUTION CO.
September 10, 1996 - April 22, 1997
PRUCO SECURITIES, LLC.
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
Series 7TO
Date: 2/23/2022
General Securities Representative ExaminationCurrent Firm
COMPASS DISTRIBUTORS, LLC
CRD#: 172662 / SEC#: , 8-69518
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LA FOND, SUSAN LORENE | CHIEF COMPLIANCE OFFICER / VP / TREASURER | 4512785 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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