William A. Stavropoulos
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 Alexander Stavropoulos was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1997. William had worked at 4 firms and has passed the Series 63, SIE 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
July 20, 2016 - August 15, 2017
FIVE 9 SECURITIES, LLC
June 23, 2014 - April 9, 2017
ENVISAGE CAPITAL MANAGEMENT, LLC
March 16, 2012 - June 13, 2014
GUGGENHEIM SECURITIES, LLC
April 22, 1997 - September 2, 2011
JEFFERIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
FIVE 9 SECURITIES, LLC
CRD#: 114853 / SEC#: , 8-53442
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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