William Joseph Schlicher Iii
Professional Summary
William Joseph Schlicher III, who also goes by William Joseph Schlicher, was a registered financial advisor. William was a previously registered financial professional and started their career in finance 1982 - 2007. William had worked at 4 firms and has passed the Series 63, Series 41, Series 1, Series 27, Series 12, Series 4 and Series 40 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
William Joseph Schlicher
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
61 years in the financial services industry
Current & Past Employments
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Current Firm
S.B.S. FINANCIAL GROUP, INC.
Contact Information
Established
Connecticut since 02/18/1992Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 41 — NYSE Allied Member Examination
Passed Mar 1976Series 1 — Registered Representative Examination
Passed Sep 1965Series 12 — NYSE Branch Manager Examination
Passed Nov 1982Series 40 — Registered Principal Examination
Passed Mar 1976Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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