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WC

William J. Connell

RMB SECURITIES (USA)
New York, NY 10019
Some features on this profile are disabled
CRD#: 2868278
WC

Professional summary

William Joseph Connell is a registered financial professional currently at RMB SECURITIES (USA) INC. located in New York, New York.

William is registered as a RR (Registered Representative) and started their career in finance in 2012. William has worked at 2 firms and has passed the Series 63, SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Joseph Connell's 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

March 3, 2022 - Present

RMB SECURITIES (USA) INC.

Office #1: 75 Rockefeller Plaza Suite 23a, New York, NY 10019
BD
CRD#: 314958
New York, NY
Past

October 5, 2012 - February 9, 2021

ICBC STANDARD SECURITIES INC.

BD
CRD#: 35560
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/8/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 10/4/2012
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

RS
RMB SECURITIES (USA) INC.
RMB SECURITIES (USA) INC.

CRD#: 314958 / SEC#: , 8-70765

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

Main Address
75 Rockefeller Plaza Suite 23a, New York, NY 10019
Mailing Address
75 Rockefeller Plaza Suite 23a, New York, NY 10019
Phone number
(917) 947-3111
Established
Delaware since 04/26/2021
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FIRSTRAND SECURITIES LIMITEDOWNER
CHIN, PHYLLIS NYUK FAHFINOP, PFO, POO6250921
GREGORY, JAMES ALEXANDERCHIEF EXECUTIVE OFFICER7116490
MEMBRENO, OSCAR ARMANDO JRCHIEF RISK OFFICER / SECRETARY / PRINCIPAL2261489
TURNER, EDEN KIERNANCCO6348203

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.

Company Information

RMB SECURITIES (USA) INC.

CRD#: 314958New York, NY 10019

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