William A. Mcfarland
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 Anthony Mcfarland, who also goes by William Mcfarland, Bill Mcfarland, Billy Mcfarland, 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 7TO, Series 99TO, SIE, Series 57TO, 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 12, 2019 - May 6, 2020
STONEX FINANCIAL INC.
December 14, 2006 - May 23, 2018
INSTINET, LLC
January 3, 2000 - September 21, 2006
VAN DER MOOLEN SPECIALISTS USA, LLC
October 1, 1997 - December 14, 1999
BANC OF AMERICA SECURITIES LLC
November 12, 1996 - October 1, 1997
MONTGOMERY SECURITIES
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: 6/17/2024
General Securities Representative ExaminationSeries 99TO
Date: 6/17/2024
Operations Professional ExaminationSeries 57TO
Date: 6/17/2024
Securities Trader ExamSeries 55
Date: 4/27/2000
Limited Representative-Equity Trader ExamCurrent Firm
STONEX FINANCIAL INC.
CRD#: 45993 / SEC#: , 8-51269
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| DAVISON, STUART ANDREW | DIRECTOR; CHIEF OPERATING OFFICER | 7824576 |
| DICIOLLO, ANTHONY JOSEPH | PRESIDENT/DIRECTOR | 4976402 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR, CHIEF FINANCIAL OFFICER | 6505923 |
| LYON, CHARLES MARTIN | DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER | 4000852 |
| MAURER, MARK L | DIRECTOR, CHIEF RISK OFFICER | 4234406 |
| PORZIO, JOSEPH JOHN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1319702 |
| SMITH, PHILIP ANDREW | DIRECTOR | 4999097 |
| SZEKELY, GIGI KLARA | CHIEF COMPLIANCE OFFICER - BD DIVISION | 2530826 |
Disclosures
| Regulatory Event | 75 |
Red Flags
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