William J. Mcnish
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 James Mcnish was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1970. William had worked at 10 firms and has passed the SIE 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
January 2, 2014 - February 7, 2018
SIGMA FINANCIAL CORPORATION
January 1, 2004 - June 17, 2013
VOYA FINANCIAL ADVISORS, INC.
September 27, 2001 - January 1, 2004
LOCUST STREET SECURITIES, INC.
June 10, 1996 - September 26, 2001
MAIN STREET MANAGEMENT COMPANY
January 21, 1993 - June 11, 1996
BENTLEY-LAWRENCE SECURITIES, INC.
May 15, 1990 - April 27, 1992
J.W. KORTH & COMPANY
January 11, 1990 - May 15, 1990
J. W. KORTH & COMPANY
September 8, 1988 - September 7, 1989
MUTUAL SERVICE CORPORATION
November 22, 1978 - August 22, 1988
ILG SECURITIES CORPORATION
November 4, 1970 - December 4, 1978
EGRET DISTRIBUTING COMPANY, 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: 10/29/1970
Registered Representative ExaminationCurrent Firm
SIGMA FINANCIAL CORPORATION
CRD#: 14303 / SEC#: , 8-30466
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | TRUST (OWNER OF ALL VOTING SHARES) | |
| MCCLELLAN, JOHN ALEXANDER | CHIEF RISK AND BUSINESS OFFICER | 4016479 |
| PHILLIPS, RICHARD THOMAS | CHIEF COMPLIANCE OFFICER | 6041363 |
| PISTOR, RANDOLPH FULVIO | CHIEF LEGAL OFFICER | 5143334 |
| RYDELL, BRANDON DAVID | PRESIDENT | 2933397 |
| RYDELL, JEROME STANLEY | CEO, CHAIRMAN AND TRUSTEE OF THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | 408389 |
| WOOTON, RYAN DANIEL | CHIEF FINANCIAL OFFICER | 8006797 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 11 |
Red Flags
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