William M. Dent
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 Marshall Dent II, who also goes by William Marshall Dent II, William Marshall Dent Ii, William Marshall Dent, William Dent, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2001. William had worked at 15 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2022 - June 2, 2026
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
January 27, 2022 - February 14, 2022
ORION PORTFOLIO SOLUTIONS, LLC
January 26, 2022 - February 14, 2022
BRINKER CAPITAL SECURITIES, LLC
March 17, 2020 - December 8, 2021
CETERA INVESTMENT ADVISERS LLC
March 16, 2020 - December 8, 2021
CETERA INVESTMENT SERVICES LLC
November 13, 2019 - March 9, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 11, 2019 - March 9, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 27, 2018 - September 11, 2019
TD AMERITRADE, INC.
February 26, 2018 - September 11, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - September 11, 2019
TD AMERITRADE, INC.
February 28, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
February 23, 2017 - February 26, 2018
SCOTTRADE, INC.
December 10, 2014 - February 22, 2017
GWN SECURITIES INC.
December 9, 2014 - February 22, 2017
GWN SECURITIES INC.
January 3, 2011 - December 10, 2014
VOYA FINANCIAL ADVISORS, INC.
January 3, 2011 - December 10, 2014
VOYA FINANCIAL ADVISORS, INC.
August 27, 2009 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
August 27, 2009 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
September 27, 2002 - August 13, 2009
EQUITABLE ADVISORS, LLC
June 20, 2002 - August 13, 2009
EQUITABLE ADVISORS, LLC
May 18, 2001 - June 21, 2002
QUICK & REILLY, 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
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
CRD#: 21570 / SEC#: , 8-39058
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SHAREHOLDER COMMON | |
| CARROLL, TRACEY MARIA | CHIEF OPERATING OFFICER | 5841463 |
| CARROLL, TRACEY MARIA | PRESIDENT | 5841463 |
| HAGGERTY, SCOTT PETER | CHIEF EXECUTIVE OFFICER | 2619329 |
| MCGRATH, SHANE THOMAS | CHIEF COMPLIANCE OFFICER | 4458909 |
| SMIT, ROBERT PHILIP | FINOP, CFO | 2332366 |
| THOMSEN, JORDAN K | CHIEF LEGAL OFFICER AND SECRETARY | 2821664 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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.
