William D. Wilcox
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 David Wilcox, who also goes by William D Wilcox, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2006. William had worked at 11 firms and has passed the Series 7TO, Series 6TO, SIE, Series 7, Series 6, Series 14, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 14, 2020 - January 9, 2021
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
October 7, 2013 - January 9, 2021
PRUCO SECURITIES, LLC.
May 23, 2011 - August 23, 2013
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
February 22, 2010 - April 4, 2011
VOYA FINANCIAL ADVISORS, INC.
June 25, 2009 - April 15, 2011
VOYA RETIREMENT ADVISORS, LLC
April 23, 2009 - April 5, 2011
SLD AMERICA EQUITIES, INC.
April 23, 2009 - April 5, 2011
DIRECTED SERVICES LLC
April 23, 2009 - April 15, 2011
SYSTEMATIZED BENEFITS ADMINISTRATORS, INC.
April 23, 2009 - April 15, 2011
VOYA FINANCIAL PARTNERS, LLC
April 27, 2006 - March 26, 2009
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
April 25, 2006 - March 26, 2009
HARTFORD FUNDS DISTRIBUTORS, LLC
April 10, 2006 - March 26, 2009
HIMCO DISTRIBUTION SERVICES COMPANY
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: 3/9/2024
General Securities Representative ExaminationSeries 6TO
Date: 3/9/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
CRD#: 21570 / SEC#: , 8-39058
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SHAREHOLDER COMMON | |
| CARROLL, TRACEY MARIA | CHIEF OPERATING OFFICER | 5841463 |
| CARROLL, TRACEY MARIA | PRESIDENT | 5841463 |
| HAGGERTY, SCOTT PETER | CHIEF EXECUTIVE OFFICER | 2619329 |
| MCGRATH, SHANE THOMAS | CHIEF COMPLIANCE OFFICER | 4458909 |
| SMIT, ROBERT PHILIP | FINOP, CFO | 2332366 |
| THOMSEN, JORDAN K | CHIEF LEGAL OFFICER AND SECRETARY | 2821664 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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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