William J. Brophy
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 Joseph Brophy was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2009. William had worked at 4 firms and has passed the SIE, Series 57, 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 26, 2017 - December 31, 2018
FIVES CAPITAL, LLC
September 14, 2011 - September 16, 2013
HARD EIGHT TRADING, LLC
May 4, 2009 - March 29, 2010
SUSQUEHANNA FINANCIAL GROUP, LLLP
February 9, 2009 - March 29, 2010
SAL EQUITY TRADING, GP
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 55
Date: 12/11/2009
Limited Representative-Equity Trader ExamCurrent Firm
FIVES CAPITAL, LLC
CRD#: 289747 / SEC#: , 8-70003
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARD EIGHT HOLDINGS, L.L.C. | OWNER | |
| BREO, ADAM SCOTT | CHIEF COMPLIANCE OFFICER | 4254331 |
| BROPHY, WILLIAM JOSEPH | VICE PRESIDENT | |
| SLOAN, JACQUELINE LEE | FINOP |
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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