WS
William Sei
MERRILL LYNCH, PIERCE, FENNER & SMITH
Dallas, TX 75201
Some features on this profile are disabled
CRD#: 4192580
WS
Professional summary
William Sei, who also goes by Bill Sei, Billy Sei, William C Sei Jr, William Charles Sei Jr, William Charles Sei Jr, is a registered financial professional currently at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located in Dallas, Texas and BOFA SECURITIES, INC. located in Dallas, Texas.
William is registered as a RR (Registered Representative) and started their career in finance in 2002. William has worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 52 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Bill Sei | Billy Sei | William C Sei Jr | William Charles Sei Jr | William Charles Sei Jr
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.
CRS (Client Relationship Summary) - BD
Click below to view William Sei's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 1, 2015 - Present
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Office #1: 2100 Ross Ave Gbam - Global Ficc - Mbam - Public Municipal Mkts, Dallas, TX 75201RIA
BD
CRD#: 7691
Dallas, TX
Current
November 13, 2018 - Present
BOFA SECURITIES, INC.
Office #1: 2100 Ross Ave Gbam - Global Ficc - Mbam - Public Municipal Mkts, Dallas, TX 75201RIA
BD
CRD#: 283942
Dallas, TX
Past
August 19, 2009 - August 10, 2015
INSPEREX LLC
BD
CRD#: 101420
DELRAY BEACH, FL
Past
January 3, 2007 - August 24, 2009
SENTINEL BROKERS COMPANY, INC.
BD
CRD#: 40305
CHICAGO, IL
Past
December 8, 2006 - December 19, 2006
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
BD
CRD#: 6950
CHICAGO, IL
Past
June 6, 2003 - December 15, 2006
R.W. SMITH & ASSOCIATES, LLC
BD
CRD#: 16605
CHICAGO, IL
Past
July 24, 2002 - August 28, 2002
R.W. SMITH & ASSOCIATES, LLC
BD
CRD#: 16605
JERSEY CITY, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BS
BOFA SECURITIES, INC.
BOFA SECURITIES, INC. | BOFAML SECURITIES, INC.
CRD#: 283942 / SEC#: 801-112640, 8-69787
RIA
Registered Investment Advisory firm - SEC (3/29/2018 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/15/2017)
RR
Alaska(8/15/2017)
RR
Arizona(8/15/2017)
RR
Arkansas(10/6/2015)
RR
California(10/6/2015)
RR
Colorado(10/6/2015)
RR
Connecticut(8/15/2017)
RR
Delaware(10/6/2015)
RR
District of Columbia(8/15/2017)
RR
Florida(10/6/2015)
RR
Georgia(10/6/2015)
RR
Hawaii(8/15/2017)
RR
Idaho(8/15/2017)
RR
Illinois(10/1/2015)
RR
Indiana(10/6/2015)
RR
Iowa(10/6/2015)
RR
Kansas(10/6/2015)
RR
Kentucky(10/6/2015)
RR
Louisiana(8/15/2017)
RR
Maine(8/15/2017)
RR
Maryland(8/15/2017)
RR
Massachusetts(10/6/2015)
RR
Michigan(10/6/2015)
RR
Minnesota(10/6/2015)
RR
Mississippi(8/15/2017)
RR
Missouri(8/15/2017)
RR
Montana(10/6/2015)
RR
Nebraska(10/6/2015)
RR
Nevada(5/12/2019)
RR
New Hampshire(8/15/2017)
RR
New Jersey(10/6/2015)
RR
New Mexico(8/15/2017)
RR
New York(10/6/2015)
RR
North Carolina(5/12/2019)
RR
North Dakota(8/15/2017)
RR
Ohio(10/6/2015)
RR
Oklahoma(10/6/2015)
RR
Oregon(10/6/2015)
RR
Pennsylvania(10/6/2015)
RR
Puerto Rico(10/6/2015)
RR
Rhode Island(8/15/2017)
RR
South Carolina(8/15/2017)
RR
South Dakota(8/15/2017)
RR
Tennessee(8/15/2017)
RR
Texas(10/6/2015)
RR
Utah(10/6/2015)
RR
Vermont(8/15/2017)
RR
Virgin Islands(8/15/2017)
RR
Virginia(8/15/2017)
RR
Washington(10/6/2015)
RR
West Virginia(8/15/2017)
RR
Wisconsin(10/6/2015)
RR
Wyoming(8/15/2017)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
BS
BOFA SECURITIES, INC.
BOFA SECURITIES, INC. | BOFAML SECURITIES, INC.
CRD#: 283942 / SEC#: 801-112640, 8-69787
RIA
Registered Investment Advisory firm - SEC (3/29/2018 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
One Bryant Park, New York, NY 10036
Mailing Address
150 N College St Nc1-028-29-04, Charlotte, NC 28255
Phone number
(646) 743-2734
Established
Delaware since 09/01/2015
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
317
SEC notice filing (2 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NB HOLDINGS CORPORATION | SOLE STOCKHOLDER | |
| BHATIA, KASHYAP P | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 6110368 |
| CHEPUCAVAGE, LAURA P | DIRECTOR, STATE DESIGNATED PRINCIPAL | 4672504 |
| GADKARI, SARANG RAJAN | DIRECTOR | 2522409 |
| MCQUEEN, MATTHEW C | DIRECTOR | 4204052 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| RAE, GLEN ALEXANDER | CHIEF LEGAL OFFICER | 6300829 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| STAGG, JENNIFER C | CHIEF COMPLIANCE OFFICER / REGISTERED INVESTMENT ADVISER | 2597167 |
| ZUBERI, SOOFIAN J J | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2372292 |
Disclosures
| Regulatory Event | 69 |
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.
Company Information
BOFA SECURITIES, INC.
CRD#: 283942Dallas, TX 75201TRUST BUT VERIFY
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