William B. Richards
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 Burpee Richards was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1972. William had worked at 12 firms and has passed the Series 63, SIE, Series 000, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 2013 - October 21, 2015
OTR GLOBAL TRADING LLC
June 29, 1998 - January 11, 2013
UBS SECURITIES LLC
September 2, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
June 3, 1996 - September 2, 1997
SBC WARBURG, INC.
March 8, 1996 - June 3, 1996
S.G. WARBURG & CO. INC.
February 3, 1989 - July 25, 1995
NATWEST SECURITIES CORPORATION
July 21, 1987 - January 10, 1989
PRESCOTT, BALL & TURBEN, INC.
March 17, 1983 - August 1, 1987
GLEACHER & COMPANY SECURITIES, INC.
February 14, 1979 - March 17, 1983
CIBC WORLD MARKETS CORP.
May 5, 1976 - February 23, 1979
ROBERT FLEMING INC.
June 20, 1973 - July 8, 1976
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION
February 28, 1972 - March 6, 1973
STONE & WEBSTER
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 000
Date: 8/27/1973
General Securities Principal ExaminationSeries 1
Date: 2/14/1972
Registered Representative ExaminationSeries 40
Date: 11/17/1975
Registered Principal ExaminationCurrent Firm
OTR GLOBAL TRADING LLC
CRD#: 138116 / SEC#: , 8-67147
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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