William P. Snow
Professional summary
William Powell Snow was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William is a previously registered financial professional and started their career in finance in 1970. Prior to being barred, William had worked at 8 firms, which includes PACIFIC SOUTHERN SECURITIES INC., WILLIAM BARTON FINANCIAL INC., FIRST COLORADO INVESTMENTS & SECURITIES INC., DOUGLASS & CO. INCORPORATED, BARTON AND COMPANY INCORPORATED, A. G. EDWARDS & SONS INC., PRINCIPAL FINANCIAL SECURITIESINC., REINHOLDT & GARDNER INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 1988 - February 4, 1993
PACIFIC SOUTHERN SECURITIES, INC.
April 9, 1987 - March 11, 1988
WILLIAM BARTON FINANCIAL, INC.
November 21, 1975 - December 9, 1981
FIRST COLORADO INVESTMENTS & SECURITIES, INC.
December 17, 1974 - April 24, 1977
DOUGLASS & CO. INCORPORATED
May 26, 1972 - January 9, 1975
BARTON AND COMPANY INCORPORATED
September 1, 1971 - June 30, 1972
A. G. EDWARDS & SONS, INC.
August 2, 1971 - October 2, 1971
PRINCIPAL FINANCIAL SECURITIES,INC.
March 9, 1970 - August 29, 1971
REINHOLDT & GARDNER INCORPORATED
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: 7/26/1968
Registered Representative ExaminationF04
Date: 12/12/1975
Financial Principal ExaminationSeries 00
Date: 4/27/1973
General Securities Principal ExaminationCurrent Firm
PACIFIC SOUTHERN SECURITIES, INC.
CRD#: 13155 / SEC#: , 8-28865
Contact information
Documents
Red Flags
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