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WT

William D. Thode

SDR CAPITAL MARKETS
Greenwood Village, CO 80111
Some features on this profile are disabled
CRD#: 3192819
WT

Professional summary

William Davis Thode, who also goes by Bill Thode, is a registered financial professional currently at SDR CAPITAL MARKETS, LLC located in Greenwood Village, Colorado.

William is registered as a RR (Registered Representative) and started their career in finance in 2019. William has worked at 4 firms and has passed the Series 63, Series 79TO, Series 82TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bill Thode

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) - BD

Click below to view William Davis Thode's CRS (Customer Relationship Summary).

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

Current

January 10, 2023 - Present

SDR CAPITAL MARKETS, LLC

Office #1: 5613 Dtc Parkway, Suite 830, Greenwood Village, CO 80111
BD
CRD#: 170652
Greenwood Village, CO
Past

November 22, 2022 - December 16, 2022

INDEPENDENT INVESTMENT BANKERS, CORP.

BD
CRD#: 154134
AUSTIN, TX
Past

April 13, 2020 - September 30, 2020

CEIBA FINANCIAL, LLC

BD
CRD#: 298977
Denver, CO
Past

August 26, 2019 - April 9, 2020

STILLPOINT CAPITAL, LLC

BD
CRD#: 133146
TAMPA, FL

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Colorado
(1/10/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 8/24/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 5/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 3/9/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

SC
SDR CAPITAL MARKETS, LLC
SDR CAPITAL MARKETS, INC. | SDR CAPITAL MARKETS, LLC

CRD#: 170652 / SEC#: , 8-69430

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
5613 Dtc Parkway, Suite 830, Greenwood Village, CO 80111
Mailing Address
5613 Dtc Parkway, Suite 830, Greenwood Village, CO 80111
Phone number
(720) 221-9220
Established
Colorado since 01/13/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
INTEGRITY CAPITAL ADVISORS, LLCMEMBER
DAVIS, ERIC SEANMEMBER/GENERAL SECURITIES PRINCIPAL4392769
ELIASON, GEOFFRY SEAN MR.CHIEF COMPLIANCE OFFICER/AML COMPLIANCE OFFICER4904780

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.

Company Information

SDR CAPITAL MARKETS, LLC

CRD#: 170652Greenwood Village, CO 80111

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