William A. Lupien
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 Albert Lupien, who also goes by Bill Lupien, William Abbert Lupien, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1965. William had worked at 5 firms and has passed the Series 65, Series 63, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 1988 - September 9, 1997
CITIZENS JMP SECURITIES, LLC
February 13, 1984 - June 18, 1986
PLANMEMBER SECURITIES CORPORATION
December 2, 1983 - April 5, 1988
REUTERS C CORPORATION
August 29, 1969 - May 24, 1976
STONE & WEBSTER SECURITIES CORPORATION
September 22, 1965 - July 20, 1980
MITCHUM, JONES & TEMPLETON INCORPORATED
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 1
Date: 4/27/1964
Registered Representative ExaminationSeries 40
Date: 5/1/1972
Registered Principal ExaminationCurrent Firm
CITIZENS JMP SECURITIES, LLC
CRD#: 22208 / SEC#: , 8-39613
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JMP HOLDING LLC | PARENT COMPANY | |
| CONROY, WALTER IVOR | GENERAL COUNSEL | 6641487 |
| GREGORY, JOHN | PRESIDENT | 4600619 |
| JACKSON, RAYMOND SIVA | CHIEF FINANCIAL OFFICER | 5563363 |
| MCLAUGHLIN, BRENDAN | CHIEF COMPLIANCE OFFICER | 2562815 |
| O'DAY, JAMES CORTLAND | HEAD OF EQUITIES | 5618215 |
| PITARRESI, JOHN CHARLES | SENIOR REGISTERED OPTIONS PRINCIPAL (SROP) | 2064758 |
| SLADER, GAVIN WILLEY | HEAD OF INVESTMENT BANKING | 4130019 |
| SPURR, JEFFREY HOLMES | HEAD OF RESEARCH | 1384716 |
| SUCHY, GREGORY JOHN | CHIEF OPERATING OFFICER / PRINCIPAL OPERATIONS OFFICER | 5907019 |
| WHITEHEAD, AIDAN PETER | HEAD OF TRADING & SALES TRADING | 2474257 |
| XIAO, ZHUO VIVIAN XUAN | FINOP | 5121578 |
Disclosures
| Regulatory Event | 6 |
Red Flags
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