William J. Hyman
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 J Hyman, who also goes by William Jeffrey Hyman, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1998. William had worked at 11 firms and has passed the Series 63, Series 65, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 2012 - December 7, 2012
SETON SECURITIES GROUP, INC.
January 31, 2012 - March 8, 2012
TRANSCEND CAPITAL
January 24, 2012 - January 26, 2012
LEGEND SECURITIES, INC.
August 5, 2011 - September 6, 2011
G-2 TRADING,LLC
April 13, 2011 - August 5, 2011
OCEAN VIEW CAPITAL, LLC
March 26, 2010 - October 4, 2010
TAFFERER TRADING, LLC
February 11, 2005 - August 6, 2007
MMA SECURITIES LLC
October 22, 2004 - December 10, 2004
EQUITABLE ADVISORS, LLC
August 30, 2004 - December 10, 2004
EQUITABLE ADVISORS, LLC
March 3, 2003 - August 19, 2003
FIS BROKERAGE & SECURITIES SERVICES LLC
October 29, 2002 - March 3, 2003
RUMSON CAPITAL, LLC
June 21, 2002 - August 8, 2002
CARLIN EQUITIES, LLC
March 15, 1998 - October 29, 2002
RUMSON CAPITAL, LLC
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 55
Date: 11/17/1998
Limited Representative-Equity Trader ExamCurrent Firm
SETON SECURITIES GROUP, INC.
CRD#: 18044 / SEC#: , 8-36105
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
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.
