William F. Southern Iii
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 Frederick Southern Iii, who also goes by Bill Southern, William Southern, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2000. William had worked at 4 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2013 - September 12, 2013
MERRIMAN CAPITAL, INC.
July 26, 2010 - November 5, 2012
THINKEQUITY LLC
March 8, 2000 - July 22, 2010
THOMAS WEISEL PARTNERS LLC
February 29, 2000 - March 16, 2000
LEHMAN BROTHERS INC.
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: 5/7/2001
Limited Representative-Equity Trader ExamCurrent Firm
MERRIMAN CAPITAL, INC.
CRD#: 18296 / SEC#: , 8-36420
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 1 |
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.
