William R. Spillman
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 Robert Spillman, who also goes by Bill Spillman, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1968. William had worked at 3 firms and has passed the Series 63, Series 1 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
June 22, 2004 - November 1, 2007
FROGGATTE & COMPANY
June 11, 1999 - April 23, 2002
FROGGATTE & COMPANY
April 19, 1995 - June 26, 1997
PRIMELINE SECURITIES CORP.
May 10, 1968 - December 7, 1992
THE COLUMBIAN SECURITIES 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: 8/3/1965
Registered Representative ExaminationSeries 00
Date: 7/27/1966
General Securities Principal ExaminationCurrent Firm
FROGGATTE & COMPANY
CRD#: 43161 / SEC#: , 8-50178
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FROGGATTE, THERON LYNN | CHAIRMAN, PRESIDENT, SECRETARY, CHIEF COMPLIANCE OFFICER | 1902647 |
| VOSBURG INVESTMENT L.P. | STOCKHOLDER |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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