William J. Mcfadden
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 Joseph Mcfadden was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1971. William had worked at 7 firms and has passed the SIE, Series 7, Series 6, 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
October 19, 2001 - January 6, 2016
THE O.N. EQUITY SALES COMPANY
May 21, 1999 - January 5, 2001
CARILLON INVESTMENTS, INC.
December 9, 1998 - May 3, 1999
AMERICAN GENERAL SECURITIES INCORPORATED
March 21, 1985 - January 31, 1992
USLIFE EQUITY SALES CORP.
October 13, 1982 - April 27, 1983
PROVIDENT MARKETING CORPORATION
September 13, 1971 - April 20, 1981
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
September 13, 1971 - April 20, 1981
SIGNATOR INVESTORS, 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: 9/7/1971
Registered Representative ExaminationCurrent Firm
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
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.
