William B. Michaels
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 Barriger Michaels, who also goes by Bill Michaels, William B Michaels, was a registered financial advisor .
William is a previously registered financial advisor and started their career in finance in 1959. William had worked at 7 firms and has passed the Series 65, Series 63, PC, 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
March 20, 2003 - August 30, 2005
CANTELLA & CO., INC.
August 30, 2002 - June 4, 2010
CANTELLA & CO., INC.
October 8, 1993 - February 13, 2003
AMERICAN INVESTMENT SERVICES, INC.
July 12, 1991 - October 27, 1993
ROBERT THOMAS SECURITIES, INC
October 2, 1989 - July 24, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 31, 1980 - October 17, 1989
UBS FINANCIAL SERVICES INC.
May 14, 1973 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
December 22, 1959 - July 23, 1973
BACHE & CO INCORPORATED
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
PC
Date: 9/2/1977
AMEX Put and Call ExamSeries 1
Date: 12/22/1959
Registered Representative ExaminationCurrent Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
