William N. Athas
Professional summary
William Nicholas Athas was barred by the FINRA 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 13 firms, which includes SW FINANCIAL, WORDEN CAPITAL MANAGEMENT LLC, K.C. WARD FINANCIAL, SECURITIES AMERICA INC., DALTON STRATEGIC INVESTMENT SERVICES INC., IAA FINANCIAL LLC, AEGIS CAPITAL CORP., AVALON PARTNERS INC., LIBERTY PARTNERS FINANCIAL SERVICES LLC, J.W. COLE FINANCIAL INC., J.P. TURNER & COMPANY L.L.C., EMMETT A LARKIN COMPANY INC., SEABOARD SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2020 - December 22, 2021
SW FINANCIAL
July 21, 2016 - August 25, 2020
WORDEN CAPITAL MANAGEMENT LLC
December 11, 2014 - August 2, 2016
K.C. WARD FINANCIAL
June 26, 2014 - December 18, 2014
SECURITIES AMERICA, INC.
March 14, 2013 - July 1, 2014
DALTON STRATEGIC INVESTMENT SERVICES INC.
August 17, 2011 - March 14, 2013
IAA FINANCIAL LLC
August 4, 2011 - August 12, 2011
AEGIS CAPITAL CORP.
August 19, 2010 - August 3, 2011
AVALON PARTNERS, INC.
August 14, 2006 - August 24, 2010
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
June 16, 2006 - August 3, 2006
J.W. COLE FINANCIAL, INC.
April 29, 2004 - June 21, 2006
J.P. TURNER & COMPANY, L.L.C.
May 3, 2002 - April 28, 2004
EMMETT A LARKIN COMPANY, INC.
January 27, 1999 - May 17, 2002
SEABOARD SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
Red Flags
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