William J. Tapert
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 James Tapert was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1970. William had worked at 18 firms and has passed the Series 63, Series 7TO, SIE, PC, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2019 - September 25, 2024
CHATSWORTH SECURITIES LLC
August 13, 2014 - April 29, 2019
YOUNG AMERICA CAPITAL, LLC
February 12, 2010 - August 11, 2014
WM SMITH & CO.
April 21, 2009 - February 9, 2010
INTERNATIONAL ASSETS ADVISORY, LLC
January 2, 2004 - April 16, 2009
OPEN TO THE PUBLIC INVESTING, INC.
March 12, 2003 - January 9, 2004
SUNGARD INSTITUTIONAL BROKERAGE INC.
June 13, 1996 - June 25, 2001
PROVIDENCE CAPITAL, INC.
July 20, 1994 - June 17, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 20, 1993 - January 17, 1995
METCAP SECURITIES INC.
January 14, 1987 - June 21, 1991
JEFFERIES LLC
October 24, 1984 - October 24, 1985
LADENBURG THALMANN & CO. INC.
December 31, 1981 - November 26, 1984
CIBC WORLD MARKETS CORP.
November 25, 1980 - January 5, 1982
PRUDENTIAL EQUITY GROUP, LLC
December 12, 1979 - August 8, 1980
SBC WARBURG DILLON READ INC.
December 15, 1977 - December 25, 1979
PRUDENTIAL EQUITY GROUP, LLC
March 22, 1976 - June 12, 1976
HALCYON SECURITIES, INC.
January 2, 1973 - July 30, 1973
LINEBERGER LOWE & CO. INCORPORATED
December 9, 1970 - March 7, 1972
PURCELL GRAHAM & COMPANY
April 1, 1970 - January 3, 1971
MAY, BORG & COMPANY
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 8/30/1994
AMEX Put and Call ExamSeries 1
Date: 3/20/1970
Registered Representative ExaminationCurrent Firm
CHATSWORTH SECURITIES LLC
CRD#: 40804 / SEC#: 801-120061, 8-49199
Contact information
FINRA licenses (6 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DIFIORE, RALPH RAYMOND | SENIOR MANAGING DIRECTOR / CHIEF COMPLIANCE OFFICER / AML OFFICER / CHIEF EXECUTIVE OFFICER | 1913027 |
| FULVIO, GENNARO JOHN | FINOP | 2435828 |
| MACLEAN, DANIEL CRAWFORD | SENIOR MANAGING DIRECTOR | 1467579 |
| MATCOVSKY, JOEL JAY | SENIOR MANAGING DIRECTOR | 1769496 |
| THE ESTATE OF CURTIS E. GOWDY | ESTATE |
Disclosures
| Regulatory Event | 1 |
Red Flags
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