William A. Nolan
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 August Nolan, who also goes by William A Nolan, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1998. William had worked at 9 firms and has passed the Series 63, Series 55, Series 7 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2006 - February 9, 2009
ABN AMRO CLEARING USA LLC
April 19, 2005 - December 18, 2006
TD PRIME SERVICES LLC
April 11, 2005 - December 13, 2006
FJG SECURITIES INC.
September 13, 2002 - April 19, 2005
LEK SECURITIES CORPORATION
August 13, 2001 - August 29, 2002
SEQUAMS TRADING CORP.
May 14, 2001 - July 5, 2001
LABRANCHE FINANCIAL SERVICES, LLC
March 27, 2001 - July 31, 2001
MCKEON BROTHERS, LLC
October 10, 2000 - March 22, 2001
CREDIT SUISSE SECURITIES (USA) LLC
May 4, 1998 - October 10, 2000
PERSHING 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: 9/26/2007
Limited Representative-Equity Trader ExamSeries 25
Date: 11/3/1999
NYSE Trading Assistant ExaminationCurrent Firm
ABN AMRO CLEARING USA LLC
CRD#: 14020 / SEC#: , 8-34354
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ABN AMRO CLEARING HOLDINGS USA LLC | SHAREHOLDER | |
| ARNOLD, JEFFREY WAYNE | CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER | 2204052 |
| BREAULT, RONALD CLIFFORD | NY BRANCH OFFICE MANAGER | 2253143 |
| BREAULT, RONALD CLIFFORD | CHIEF COMMERCIAL OFFICER | 2253143 |
| DELHEIMER, MICHAEL FRANCIS | VP FINANCE, FINOP, PRINCIPAL FINANCIAL OFFICER | 5567195 |
| DUINSTRA, BOUDEWIJN | CHIEF EXECUTIVE OFFICER | 5504066 |
| ENGELBERTS, PAULINE MATHILDE | DIRECTOR, BOARD MEMBER | 7350692 |
| GILMORE, KEVIN MICHAEL | PRINCIPAL OPERATIONS OFFICER | 3150898 |
| ONEILL, YULIA V | CHICAGO BRANCH OFFICE MANAGER, ROP | 6313470 |
| SCHELLENS, RUTGER VINCENT CONSTANTIJN | DIRECTOR | 6268503 |
| TAYLOR, TIMOTHY JAMES | PRINCIPAL OPERATIONS OFFICER | 1640795 |
| TYRICHTROVA, MONIKA ALEXANDRA | CHIEF COMPLIANCE OFFICER | 4487708 |
Disclosures
| Regulatory Event | 82 |
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.
