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William Echeverri

Some features on this profile are disabled
CRD#: 3120242
WE

Professional summary

William Echeverri was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

William is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, William had worked at 4 firms, which includes HAPOALIM SECURITIES USA INC., LABRANCHE FINANCIAL SERVICES LLC, MAGNA, LEHMAN BROTHERS INC..

top-8-questions

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 15, 2009 - March 25, 2011

HAPOALIM SECURITIES USA, INC.

BD
CRD#: 266
NEW YORK, NY
Past

May 20, 2008 - February 13, 2009

LABRANCHE FINANCIAL SERVICES, LLC

BD
CRD#: 7432
NEW YORK, NY
Past

May 22, 2007 - May 21, 2008

MAGNA

BD
CRD#: 30935
NEW YORK CITY, NY
Past

January 28, 1999 - March 7, 2007

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/18/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 2/26/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 10/2/1998
General Securities Representative Examination

Current Firm

HS
HAPOALIM SECURITIES USA, INC.
ERNST & COMPANY | INVESTEC ERNST & COMPANY, INC. | INVESTEC ERNST & COMPANY | INVESTEC (US) INCORPORATED | HAPOALIM SECURITIES USA, INC.

CRD#: 266 / SEC#: , 8-3018

BD
Terminated by SEC on 04/01/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 09/23/1993
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BHI USA HOLDINGS, INC.SHAREHOLDER
FELIX, MICHAEL PAULCEO1015774
FRUCHT, MARK OSCARCFO, FINOP5130492
HAMANI, GABRIELNON-EMPLOYEE BOARD MEMBER6041565
VENEZIA, JOHN JOSEPHCHIEF COMPLIANCE OFFICER
YAIR, TALMORCHAIRMAN OF BOARD OF DIRECTORS6789361

Disclosures

Regulatory Event32
Civil Event1
Arbitration6

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

HAPOALIM SECURITIES USA, INC.

CRD#: 266

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