William C. Marvin
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 Charles Marvin, who also goes by Bill Marvin, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1972. William had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 2013 - May 1, 2015
ALEXANDER CAPITAL, L.P.
March 19, 2007 - June 14, 2013
MATRIX CAPITAL GROUP, INC.
November 14, 2002 - January 30, 2007
ANDREW GARRETT INC.
May 10, 2001 - September 9, 2002
DONALD & CO. SECURITIES INC.
November 6, 2000 - April 27, 2001
BANC OF AMERICA SECURITIES LLC
January 19, 1999 - August 22, 2000
PERSHING LLC
December 7, 1998 - January 22, 1999
THE CONCORD EQUITY GROUP, LLC
April 19, 1996 - May 19, 1997
LAIDLAW GLOBAL SECURITIES, INC.
August 2, 1995 - February 2, 1996
PRUDENTIAL EQUITY GROUP, LLC
August 22, 1988 - September 4, 1991
STRATEGIC ASSETS INTERNATIONAL
March 3, 1988 - September 7, 1988
PERSHING LLC
September 2, 1986 - April 21, 1988
E. F. HUTTON & COMPANY INC
February 20, 1985 - September 9, 1986
P.R. BURKE & CO., INC.
February 23, 1983 - January 7, 1985
CIBC WORLD MARKETS CORP.
March 10, 1978 - March 14, 1983
PERSHING LLC
February 24, 1978 - March 10, 1978
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION
November 11, 1975 - February 24, 1978
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION
October 24, 1972 - October 29, 1975
CITIGROUP GLOBAL MARKETS 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
Exams
Series 1
Date: 10/19/1972
Registered Representative ExaminationCurrent Firm
ALEXANDER CAPITAL, L.P.
CRD#: 40077 / SEC#: , 8-48957
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SENA MANAGEMENT LLC | PARTNER | |
| JSEC INC | PARTNER | |
| SALKIND, CATHERINE P | PARTNER | 7021439 |
| RUGGIERE, JOSEPH MATTHEW | PARTNER | 2548108 |
| RUGGIERE, WAYNE NMN | PARTNER | 7200730 |
| SALKIND, GENE Z | PARTNER | 7021417 |
| AMATO, JOSEPH ANTHONY | CEO | 2751635 |
| ELDREDGE, MICHAEL WILLIAM | BRANCH MANAGER ATL OFFICE | 2903014 |
| FAUCI, JODI | GENERAL SECS PRINCIPAL | 4189732 |
| FEMIANO, JOHN FRANCIS | GENERAL SECS PRINCIPAL, ANNUUITIES PRINCIPAL | 2132030 |
| FRANCONE, VITO ANTONIO II | COMPLIANCE ASSOCIATE | 2349326 |
| GUIDICIPIETRO, ROCCO GERARD | COO | 2489732 |
| KRISPEAL, RAQUEL E | SENIOR COMPLIANCE OFFICER, BRANCH MANAGER | 5733217 |
| MARTORANO, CARL MARIO | BRANCH MANAGER/OPERATIONS MANAGER/ROSFP | 2286051 |
| MESSINA, PAUL MICHAEL | GENERAL SECS PRINCIPAL, ROSFP, CO-MSRB PRINCIPAL | 5897543 |
| MISITI, MICHELE ANN | CHIEF COMPLIANCE OFFICER - ROSFP - AML OFFICER | 1931272 |
| ROTH, BARBARA NMN | PARTNER | 7200728 |
| SKOVRONCK, JEANPAUL CHARLES | DESIGNATED SUPERVISOR, DEPUTY AML OFFICER | 2744738 |
| STACK, TIMOTHY | SENIOR COMPLIANCE OFFICER | 1426363 |
| STAFFORD, LAWRENCE ROBERT | CHIEF TECHNOLOGY OFFICER | 7046577 |
| SULLIVAN, THOMAS FRANCIS | FINOP/CHIEF FINANCIAL OFFICER/CO-MSRB PRINCIPAL | 1145000 |
| THE SALKIND FAMILY FOUNDATION | PARTNER |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
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.
