William C. Flood
Professional summary
William C Flood JR is a registered financial professional currently at VCS VENTURE SECURITIES located in Manorville, New York.
William is registered as a RR (Registered Representative) and started their career in finance in 1998. William has worked at 8 firms and has passed the Series 63, SIE, Series 7TO, Series 55, Series 7, Series 24, Series 28 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William C Flood JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 29, 2021 - Present
VCS VENTURE SECURITIES
July 7, 2015 - March 15, 2016
JOSEPH STONE CAPITAL L.L.C.
November 15, 2012 - August 6, 2015
CAPE SECURITIES INC.
September 13, 2010 - December 22, 2010
AVALON PARTNERS, INC.
August 14, 2006 - August 24, 2010
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
June 28, 2006 - August 3, 2006
J.W. COLE FINANCIAL, INC.
November 29, 2005 - July 14, 2006
S.W. BACH & COMPANY
November 2, 1998 - December 5, 2005
KIRLIN SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/1/2021)
(11/5/2021)
(10/24/2024)
(11/1/2021)
(11/3/2021)
(11/1/2021)
(11/1/2021)
(11/1/2021)
(11/1/2021)
(4/18/2022)
(5/30/2023)
(11/1/2021)
(10/30/2021)
(10/29/2021)
Exams
Series 7TO
Date: 10/22/2021
General Securities Representative ExaminationSeries 55
Date: 12/7/2000
Limited Representative-Equity Trader ExamSeries 28
Date: 10/20/2006
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
Current Firm
VCS VENTURE SECURITIES
CRD#: 127921 / SEC#: , 8-66069
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEO CAPITAL MARKETS, LLC | DIRECT OWNER | |
| NEW AGE CAPITAL MANAGEMENT, LLC | DIRECT OWNER | |
| MOOD, TRAVIS ANTON MORSE | REGISTERED OPTIONS PRINCIPAL | 4745001 |
| NIXON, JON ALAN | FINOP | 4710715 |
| STALANSKI, JOHN WALTER | AMLCO | 2922709 |
| STALANSKI, JOHN WALTER | CHIEF OPERATING OFFICER | 2922709 |
| STALANSKI, JOHN WALTER | CHIEF COMPLIANCE OFFICER | 2922709 |
Disclosures
| Regulatory Event | 3 |
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.
