William J. Mckenzie
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 Mckenzie was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1973. William had worked at 10 firms and has passed the SIE, Series 55, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2004 - November 18, 2016
GFI SECURITIES LLC
May 24, 2000 - August 27, 2004
OPPENHEIMER & CO. INC.
November 5, 1998 - May 1, 2000
ASIEL & CO. LLC
October 5, 1995 - October 22, 1998
ADVEST, INC.
September 30, 1994 - March 30, 1995
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
April 13, 1984 - October 6, 1992
MORGAN STANLEY DW INC.
September 26, 1978 - September 11, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 3, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
January 10, 1975 - October 12, 1977
MABON, NUGENT & CO.
February 6, 1973 - July 17, 1979
STERN, LAUER & CO.
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 55
Date: 3/15/2000
Limited Representative-Equity Trader ExamPC
Date: 10/5/1995
AMEX Put and Call ExamSeries 1
Date: 2/1/1973
Registered Representative ExaminationCurrent Firm
GFI SECURITIES LLC
CRD#: 19982 / SEC#: , 8-43548
Contact information
FINRA licenses (26 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GFINET INC. | SOLE MEMBER | |
| ABULARRAGE, JOHN JOSEPH | CHIEF EXECUTIVE OFFICER | 3265633 |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| HAUF, JASON WILLIAMS | CHIEF FINANCIAL OFFICER | 4163331 |
| LEWIS, THOMAS JOSEPH | PRINCIPAL | 2684821 |
| LYNCH, MARTIN | CHIEF OPERATING OFFICER | 5612726 |
| SULFARO, MICHAEL CARL | CHIEF COMPLIANCE OFFICER | 2483562 |
Disclosures
| Regulatory Event | 30 |
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.
