William A. Sitz
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 A Sitz, who also goes by Bill A Sitz, Bill Allen Sitz, William Allen Sitz, was a registered financial advisor .
William is a previously registered financial advisor and started their career in finance in 2001. William had worked at 5 firms and has passed the Series 66, Series 31 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
October 17, 2012 - September 20, 2013
TD AMERITRADE, INC.
October 17, 2012 - September 20, 2013
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
October 13, 2012 - September 20, 2013
TD AMERITRADE, INC.
January 13, 2012 - May 29, 2012
TD AMERITRADE, INC.
January 3, 2006 - December 23, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 5, 2005 - December 23, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 10, 2003 - October 27, 2004
BBVA COMPASS INVESTMENT SOLUTIONS, INC
January 9, 2003 - September 17, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 25, 2002 - September 17, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 8, 2001 - January 8, 2002
MORGAN STANLEY DW 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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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