William M. Lacy
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 Moss Lacy JR was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1967. William had worked at 7 firms and has passed the Series 63, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 24, 1987 - August 21, 1989
SCHARFF & JONES, INC.
February 1, 1977 - September 29, 1987
RAUSCHER PIERCE REFSNES, INC.
December 23, 1975 - February 27, 1977
F. D. BENTON & ASSOCIATES, INC.
December 18, 1974 - March 12, 1975
REYNOLDS SECURITIES, INC.
September 19, 1973 - February 3, 1975
BLYTHL EASTMAN DILLON & CO INCORPORATED
January 11, 1973 - October 21, 1973
LEHMAN BROTHERS INCORPORATED
July 18, 1967 - January 11, 1973
DOMIK CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 9/17/1962
Registered Representative ExaminationSeries 00
Date: 3/14/1967
General Securities Principal ExaminationCurrent Firm
SCHARFF & JONES, INC.
CRD#: 745 / SEC#: , 8-757
Contact information
Documents
Red Flags
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