William M. Cadden
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 Michael Cadden was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1971. William had worked at 9 firms and has passed the Series 40 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 1989 - September 1, 1989
CARTHAGE GROUP INC.
April 6, 1987 - October 24, 1990
THE FIDELITY MANAGEMENT CORPORATION
June 30, 1986 - July 23, 1986
PHILIPS, APPEL & WALDEN, INC.
September 5, 1985 - April 16, 1990
WILLIAM M. CADDEN & CO., INC.
April 4, 1985 - June 30, 1986
S. D. COHN & CO.
March 16, 1977 - March 29, 1985
EMPIRE NATIONAL SECURITIES, INCORPORATED
November 8, 1974 - June 5, 1976
SHEARSON HAYDEN STONE INC.
March 16, 1972 - November 8, 1974
HAYDEN STONE INC.
October 21, 1971 - March 10, 1972
HAYDEN STONE
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 40
Date: 3/13/1972
Registered Principal ExaminationCurrent Firm
CARTHAGE GROUP INC.
CRD#: 18289 / SEC#: , 8-36323
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCCARTHY, FELIX MICHAEL | PRESIDENT - CEO, CCO | 325110 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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