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WG

William L. Guinan

PROOF SERVICES LLC
NEW YORK, NY
Some features on this profile are disabled
CRD#: 3089830
WG

Professional summary

William Lawrence Guinan, who also goes by William III Guinan, William Lawrence Guinan III, William L. Guinan Iii Iii, William L. Guinan Iii, Bill Lawrence Guinan Iii, is a registered financial professional currently at PROOF SERVICES LLC located in New York, New York.

William is registered as a RR (Registered Representative) and started their career in finance in 1998. William has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 25, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

William Iii Guinan | William Lawrence Guinan Iii | William L. Guinan Iii Iii | William L. Guinan Iii | Bill Lawrence Guinan Iii

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 Lawrence Guinan'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

June 26, 2024 - Present

PROOF SERVICES LLC

BD
CRD#: 306369
NEW YORK, NY
Past

July 3, 2019 - July 27, 2022

IEX SERVICES LLC

BD
CRD#: 167872
New York, NY
Past

May 19, 2005 - May 6, 2019

SANFORD C. BERNSTEIN & CO., LLC

BD
CRD#: 104474
NEW YORK, NY
Past

February 6, 2004 - May 13, 2005

RBC CAPITAL MARKETS CORPORATION

BD
CRD#: 6579
NEW YORK, NY
Past

January 12, 2000 - February 6, 2004

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

February 18, 1999 - December 31, 1999

PRENTICE SECURITIES, INCORPORATED

BD
CRD#: 22897
HALLANDALE, FL
Past

September 30, 1998 - December 7, 1998

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY

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
Alaska
(6/26/2024)
RR
California
(6/26/2024)
RR
Colorado
(6/26/2024)
RR
Connecticut
(6/26/2024)
RR
Florida
(6/26/2024)
RR
Georgia
(6/26/2024)
RR
Maryland
(6/26/2024)
RR
Massachusetts
(6/26/2024)
RR
New Jersey
(6/26/2024)
RR
New York
(6/26/2024)
RR
Ohio
(6/26/2024)
RR
Pennsylvania
(6/26/2024)
RR
Texas
(6/26/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 3/15/1999
Uniform Securities Agent State Law 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 55
Date: 6/5/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 25
Date: 4/6/2000
NYSE Trading Assistant Examination
General Industry/Product Exam
RR
Series 7
Date: 9/29/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/11/2011
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC

Current Firm

PS
PROOF SERVICES LLC
PROOF SERVICES LLC

CRD#: 306369 / SEC#: , 8-70450

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

Main Address
176 Broadway #15d, New York, NY 10038
Mailing Address
176 Broadway #15d, New York, NY 10038
Phone number
(240) 418-2486
Established
Delaware since 10/16/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (15 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BISHOP, ALLISON BRETONPRESIDENT6663144
PROOF TRADING, INC.DIRECT OWNER
AISEN, DANIEL CHARLESCHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER5563742
CROSS, ANNAFINOP / PFO / POO5894013
DAS, NILANJANACOO5371806
MARAR MORENO, MARCIO ALEXANDRECTO7034083

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

PROOF SERVICES LLC

CRD#: 306369New York, NY

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