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WK

William A. Kessel

ARCHIPELAGO SECURITIES L.L.C.
Chicago, IL 60654
Some features on this profile are disabled
CRD#: 2923115
WK

Professional summary

William Alan Kessel is a registered financial professional currently at ARCHIPELAGO SECURITIES L.L.C. located in Chicago, Illinois and ARCHIPELAGO TRADING SERVICES, INC. located in Chicago, Illinois.

William is registered as a RR (Registered Representative) and started their career in finance in 1997. William has worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, Series 57TO, SIE, Series 7, Series 6, Series 14 and Series 24 exams.

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 Alan Kessel'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

August 14, 2014 - Present

ARCHIPELAGO SECURITIES L.L.C.

Office #1: 353 North Clark Street Suite 3200, Chicago, IL 60654
BD
CRD#: 102500
Chicago, IL
Current

August 14, 2014 - Present

ARCHIPELAGO TRADING SERVICES, INC.

Office #1: 353 North Clark Street Suite 3200, Chicago, IL 60654
BD
CRD#: 15853
Chicago, IL
Past

May 7, 2012 - December 20, 2012

NSX SECURITIES LLC

BD
CRD#: 141378
JERSEY CITY, NJ
Past

June 1, 2009 - March 27, 2012

MORGAN STANLEY

RIA
CRD#: 149777
PURCHASE, NY
Past

June 1, 2009 - March 27, 2012

MORGAN STANLEY

BD
CRD#: 149777
PURCHASE, NY
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
CHICAGO, IL
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
PURCHASE, NY
Past

May 5, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
PURCHASE, NY
Past

May 5, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

June 22, 2004 - April 15, 2005

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
SCHAUMBURG, IL
Past

March 12, 2004 - September 15, 2004

HOCHMAN & BAKER SECURITIES, INC.

BD
CRD#: 19949
STAMFORD, CT
Past

February 24, 2004 - April 15, 2005

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
SCHAUMBURG, IL
Past

February 10, 2000 - February 24, 2004

HOCHMAN & BAKER SECURITIES, INC.

BD
CRD#: 19949
STAMFORD, CT
Past

August 8, 1997 - March 7, 2000

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Illinois
(8/27/2014)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/21/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/21/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 9/18/2024
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/2/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/7/1997
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/31/2000
General Securities Principal Examination
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

AT
ARCHIPELAGO TRADING SERVICES, INC.
ARCHIPELAGO TRADING SERVICES, INC. | GLOBENET SECURITIES, INC. | FRAY MUNICIPAL SECURITIES, INC. | CORPORATE CAPITAL SECURITIES, INC.

CRD#: 15853 / SEC#: , 8-33180

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

Main Address
353 North Clark Street Suite 3200, Chicago, IL 60654
Mailing Address
353 North Clark Street Suite 3200, Chicago, IL 60654
Phone number
(312) 836-6700
Established
Florida since 09/07/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
NYSE GROUP, INC.HOLDING COMPANY
KNIGHT, JOHN CHARLESCHIEF COMPLIANCE OFFICER5187603
SCADDEN, BARRY SCOTTEXECUTIVE PRINCIPAL2400877
THOMASSON, SEAN JOSEPHFINANCIAL AND OPERATIONS PRINCIPAL5124423
TOBIN, BRYAN THOMASSUPERVISORY PRINCIPAL5232664

Disclosures

Regulatory Event5

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

ARCHIPELAGO TRADING SERVICES, INC.

CRD#: 15853Chicago, IL 60654

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