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William A. Relyea

Some features on this profile are disabled
CRD#: 373985
WR

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 Allen Relyea was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1969. William had worked at 9 firms and has passed the Series 63, SIE, Series 86, Series 87, Series 000, Series 1 and Series 40 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 14, 2008 - March 13, 2020

MIDTOWN PARTNERS

BD
CRD#: 104223
NEW YORK, NY
Past

June 1, 2004 - April 3, 2008

H.C.WAINWRIGHT & CO., LLC

BD
CRD#: 375
NEW YORK, NY
Past

October 15, 2003 - March 30, 2004

SPENCER CLARKE LLC

BD
CRD#: 41316
NORTH MIAMI, FL
Past

September 3, 1996 - August 2, 2001

JOSEPHTHAL & CO., INC.

BD
CRD#: 3227
NEW YORK, NY
Past

January 5, 1994 - September 10, 1996

AUERBACH, POLLAK & RICHARDSON INC.

BD
CRD#: 29824
STAMFORD, CT
Past

July 8, 1993 - November 10, 1993

REICH & CO., INC.

BD
CRD#: 19611
Past

January 28, 1983 - March 2, 1989

ROBERT FLEMING INC.

BD
CRD#: 1711
NEW YORK, NY
Past

March 27, 1974 - December 3, 1982

UBS ASSET MANAGEMENT (US) INC.

BD
CRD#: 583
Past

April 9, 1969 - March 5, 1974

AUERBACH POLLAK & RICHARDSON

BD
CRD#: 1000002

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/17/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 86
Date: 8/10/2004
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 7/21/2004
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 000
Date: 1/27/1967
General Securities Principal Examination
General Industry/Product Exam
RR
Series 1
Date: 6/14/1965
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 40
Date: 9/19/1973
Registered Principal Examination

Current Firm

MP
MIDTOWN PARTNERS
CB CAPITAL LLC | MIDTOWN PARTNERS & CO., LLC | MIDTOWN PARTNERS | MIDTOWN | INNOVATION CAPITAL LLC | FUNDITNATION.COM | CROSSBOW CAPITAL LLC

CRD#: 104223 / SEC#: , 8-52685

BD
Cancelled by SEC on 09/28/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 05/30/2000
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
APOGEE FINANCIAL INVESTMENTS, INC.OWNER
INDIA GLOBALIZATION CAPITAL, INC.MEMBER

Disclosures

Regulatory Event6

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.

Company Information

MIDTOWN PARTNERS

CRD#: 104223

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