William H. Sharp
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 Howard Sharp was a registered financial advisor .
William is a previously registered financial advisor and started their career in finance in 1969. William had worked at 5 firms and has passed the Series 63, Series 1, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2007 - June 11, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 3, 2007 - June 11, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 31, 1999 - January 10, 2007
FIRST STATE FINANCIAL MANAGEMENT, INC.
September 26, 1985 - January 10, 2007
FIRST STATE FINANCIAL MANAGEMENT, INC.
July 29, 1985 - October 15, 1985
THE HEITNER CORPORATION
February 6, 1980 - July 23, 1985
EDWARD JONES
May 26, 1976 - January 31, 1980
MCCOURTNEY-BRECKENRIDGE & COMPANY
June 18, 1969 - June 21, 1976
THE HEITNER CORPORATION
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 1
Date: 6/12/1969
Registered Representative ExaminationF04
Date: 3/9/1974
Financial Principal ExaminationSeries 00
Date: 3/9/1974
General Securities Principal ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
Red Flags
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