William T. Anders
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 Troy Anders, who also goes by William Troy Anders III, William Troy Anders III, 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 66, Series 7TO, Series 52TO, SIE, Series 7, Series 24 and Series 51 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2015 - November 6, 2020
AVALON INVESTMENT & SECURITIES GROUP, INC.
July 20, 2007 - December 31, 2012
RESOURCE HORIZONS INVESTMENT ADVISORY, INC.
July 16, 2007 - December 31, 2012
RESOURCE HORIZONS GROUP LLC
September 26, 2006 - July 2, 2007
NEXT FINANCIAL GROUP, INC.
September 26, 2006 - July 2, 2007
NEXT FINANCIAL GROUP, INC.
March 18, 2004 - September 26, 2006
SSN ADVISORY, INC.
January 7, 2004 - September 26, 2006
SECURITIES SERVICE NETWORK, LLC
April 2, 2002 - December 31, 2003
SENTRA SECURITIES CORPORATION
April 27, 2001 - December 31, 2003
SENTRA SECURITIES CORPORATION
May 24, 2000 - October 19, 2000
IDS LIFE INSURANCE COMPANY
May 24, 2000 - October 19, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
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 7TO
Date: 3/27/2024
General Securities Representative ExaminationSeries 52TO
Date: 3/27/2024
Municipal Securities Representative ExaminationCurrent Firm
AVALON INVESTMENT & SECURITIES GROUP, INC.
CRD#: 6281 / SEC#: , 8-17078
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 14 |
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.
