William R. Rafter
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 Raymond Rafter JR, who also goes by David Vale, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1974. William had worked at 6 firms and has passed the Series 63, Series 15, Series 1, Series 4 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
February 23, 1995 - May 12, 1995
WILLOW SECURITIES, INC.
July 15, 1984 - December 5, 1990
ELDERS SECURITIES INC.
May 23, 1984 - November 5, 1984
MIKAL & COMPANY, INC.
May 17, 1982 - October 18, 1982
BALFOUR, MCCLAINE INC.
February 3, 1977 - July 27, 1981
LASALLE ST SECURITIES, L.L.C.
March 7, 1974 - December 11, 1974
FML FUNDS DISTRIBUTION COMPANY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 15
Date: 2/7/1985
Foreign Currency Options ExaminationSeries 1
Date: 3/4/1974
Registered Representative ExaminationCurrent Firm
WILLOW SECURITIES, INC.
CRD#: 30350 / SEC#: , 8-44878
Contact information
Documents
Red Flags
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