William D. Thode
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 Davis Thode, who also goes by Bill Thode, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2019. William had worked at 4 firms and has passed the Series 63, Series 79TO, Series 82TO and SIE exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2023 - June 26, 2026
SDR CAPITAL MARKETS, LLC
November 22, 2022 - December 16, 2022
INDEPENDENT INVESTMENT BANKERS, CORP.
April 13, 2020 - September 30, 2020
CEIBA FINANCIAL, LLC
August 26, 2019 - April 9, 2020
STILLPOINT CAPITAL, LLC
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 79TO
Date: 5/2/2023
Investment Banking Registered Representative ExaminationSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsCurrent Firm
SDR CAPITAL MARKETS, LLC
CRD#: 170652 / SEC#: , 8-69430
Contact information
FINRA licenses (2 States and Territories)
Documents
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.
