William P. Mckiernan
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 Patrick Mckiernan, who also goes by Bill Patrick Mckiernan, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2000. William had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2016 - February 27, 2020
WADDELL & REED
October 3, 2016 - February 27, 2020
WADDELL & REED
May 18, 2015 - September 14, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 18, 2015 - September 14, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 3, 2014 - May 20, 2015
CITIZENS SECURITIES, INC.
December 23, 2013 - May 20, 2015
CITIZENS SECURITIES, INC.
November 8, 2007 - September 6, 2013
NATIONAL FINANCIAL SERVICES LLC
February 13, 2006 - September 7, 2007
FIDELITY BROKERAGE SERVICES LLC
March 30, 2005 - January 5, 2006
METROPOLITAN LIFE INSURANCE COMPANY
March 30, 2005 - January 5, 2006
MSI FINANCIAL SERVICES, INC.
September 4, 2001 - May 14, 2004
MORGAN STANLEY DW INC.
October 25, 2000 - May 14, 2004
MORGAN STANLEY DW INC.
March 22, 2000 - May 25, 2000
FORESTERS FINANCIAL SERVICES, 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
Current Firm
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
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.
