WC
William Chow
JEFFERIES LLC
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 4380139
WC
Professional summary
William Chow is a registered financial professional currently at JEFFERIES LLC located in New York, New York.
William is registered as a RR (Registered Representative) and started their career in finance in 2003. William has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 4, Series 9, Series 10 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view William Chow's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 23, 2017 - Present
JEFFERIES LLC
Office #1: 520 Madison Avenue, New York, NY 10022BD
CRD#: 2347
NEW YORK, NY
Past
October 16, 2014 - January 10, 2017
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
New York, NY
Past
April 25, 2007 - July 3, 2014
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
January 1, 2005 - March 23, 2007
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW YORK CITY, NY
Past
July 6, 2004 - January 1, 2005
HSBC BROKERAGE (USA) INC.
BD
CRD#: 6956
NEW YORK, NY
Past
September 26, 2003 - October 21, 2003
WORLDCO, L.L.C.
BD
CRD#: 24673
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/23/2017)
RR
Alaska(1/23/2017)
RR
Arizona(1/23/2017)
RR
Arkansas(1/23/2017)
RR
California(1/23/2017)
RR
Colorado(1/23/2017)
RR
Connecticut(1/23/2017)
RR
Delaware(1/23/2017)
RR
District of Columbia(1/23/2017)
RR
Florida(1/23/2017)
RR
Georgia(1/23/2017)
RR
Hawaii(1/23/2017)
RR
Idaho(1/23/2017)
RR
Illinois(1/23/2017)
RR
Indiana(1/23/2017)
RR
Iowa(1/23/2017)
RR
Kansas(1/23/2017)
RR
Kentucky(1/23/2017)
RR
Louisiana(1/23/2017)
RR
Maine(1/23/2017)
RR
Maryland(1/23/2017)
RR
Massachusetts(1/23/2017)
RR
Michigan(1/23/2017)
RR
Minnesota(1/23/2017)
RR
Mississippi(1/23/2017)
RR
Missouri(1/23/2017)
RR
Montana(1/23/2017)
RR
Nebraska(1/23/2017)
RR
Nevada(1/23/2017)
RR
New Hampshire(1/23/2017)
RR
New Jersey(1/23/2017)
RR
New Mexico(1/23/2017)
RR
New York(1/23/2017)
RR
North Carolina(1/23/2017)
RR
North Dakota(1/23/2017)
RR
Ohio(1/23/2017)
RR
Oklahoma(1/23/2017)
RR
Oregon(1/30/2017)
RR
Pennsylvania(1/23/2017)
RR
Puerto Rico(1/23/2017)
RR
Rhode Island(1/23/2017)
RR
South Carolina(1/23/2017)
RR
South Dakota(1/23/2017)
RR
Tennessee(1/23/2017)
RR
Texas(1/23/2017)
RR
Utah(1/23/2017)
RR
Vermont(1/23/2017)
RR
Virgin Islands(5/10/2024)
RR
Virginia(1/23/2017)
RR
Washington(1/23/2017)
RR
West Virginia(1/23/2017)
RR
Wisconsin(1/23/2017)
RR
Wyoming(1/23/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
JL
JEFFERIES LLC
JEFFERIES & COMPANY, INC. | JEFFERIES LLC
CRD#: 2347 / SEC#: , 8-15074
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
520 Madison Avenue, New York, NY 10022
Mailing Address
520 Madison Avenue 16th Floor, New York, NY 10022
Phone number
(212) 284-2300
Established
Delaware since 03/01/2013
Firm type
Limited Liability Company
Fiscal year end
November
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JEFFERIES FINANCIAL GROUP INC | DIRECT OWNER | |
| CAGNO, MARK LAWRENCE | GLOBAL CONTROLLER, MANAGING DIRECTOR | 2510148 |
| FISCELLA, MICHAEL EUGENE | GLOBAL HEAD OF OPERATIONS, MANAGING DIRECTOR | 2490187 |
| FORLENZA, PETER CHARLES | GLOBAL HEAD OF EQUITIES, MANAGING DIRECTOR | 2366985 |
| FRIEDMAN, BRIAN PAUL | DIRECTOR AND CHAIRMAN, EXECUTIVE COMMITTEE | 1298550 |
| HANDLER, RICHARD BRIAN | CHAIRMAN, CHIEF EXECUTIVE OFFICER AND DIRECTOR | 1563245 |
| LARSON, MATTHEW SCOTT | EXECUTIVE VICE PRESIDENT AND CFO/ PRINCIPAL FINANCIAL OFFICER | 2605152 |
| SCORAN, LAURI A | CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR | 2060170 |
| SHARP, MICHAEL JAMES | GENERAL COUNSEL, SECRETARY, EXECUTIVE VICE PRESIDENT | 1013864 |
| STACCONI, JOHN FRANCO | TREASURER | 1814227 |
Disclosures
| Regulatory Event | 133 |
| Arbitration | 4 |
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.
