William Rich
Professional summary
William Rich, who also goes by William Rich IV, is a registered financial professional currently at LOOP CAPITAL MARKETS LLC located in Chicago, Illinois.
William is registered as a RR (Registered Representative) and started their career in finance in 2000. William has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Rich's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 14, 2022 - Present
LOOP CAPITAL MARKETS LLC
Office #1: 425 S. Financial Place Ste 2700, Chicago, IL 60605February 1, 2016 - November 11, 2022
OPPENHEIMER & CO. INC.
January 4, 2010 - October 6, 2015
TD SECURITIES (USA) LLC
September 16, 2008 - December 22, 2009
LEBENTHAL & CO., LLC
May 1, 2001 - July 2, 2008
J.P. MORGAN SECURITIES INC.
April 25, 2000 - May 1, 2001
JPMSI
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/14/2022)
Exams
FINRA
Current Firm
LOOP CAPITAL MARKETS LLC
CRD#: 43098 / SEC#: , 8-50140
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 8 |
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