William E. Herlihy
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 Edward Herlihy was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1999. William had worked at 6 firms and has passed the Series 63, Series 55, Series 7 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
January 5, 2009 - February 27, 2010
ORION TRADING, LLC
December 13, 2007 - December 18, 2008
THOMAS ANTHONY & ASSOCIATES , INC.
September 2, 2005 - September 25, 2007
PARK FINANCIAL GROUP, INC.
March 4, 2002 - August 29, 2005
NEWBRIDGE SECURITIES CORPORATION
November 6, 2001 - February 26, 2002
CARDINAL CAPITAL MANAGEMENT, INC.
October 1, 1999 - December 31, 2001
EMERSON BENNETT & ASSOCIATES
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 55
Date: 4/27/2000
Limited Representative-Equity Trader ExamCurrent Firm
ORION TRADING, LLC
CRD#: 43932 / SEC#: , 8-50484
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
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.
