William M. Topkis
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 Morris Topkis, who also goes by Bill Topkis, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1970. William had worked at 8 firms and has passed the Series 65, Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2013 - July 1, 2015
DANIELS + TANSEY, L.L.P.
September 20, 2005 - February 13, 2013
TOPKIS FINANCIAL ADVISORS LLC
March 31, 2005 - January 23, 2013
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
March 31, 2005 - January 23, 2013
CAMBRIDGE INVESTMENT RESEARCH, INC.
August 1, 2003 - April 5, 2005
WALNUT STREET SECURITIES, INC.
August 1, 2003 - April 5, 2005
WALNUT STREET SECURITIES, INC.
June 25, 1999 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
May 10, 1999 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
July 25, 1979 - January 20, 1983
HEATHER AGENCY, INC.
May 20, 1970 - May 10, 1999
1717 CAPITAL MANAGEMENT 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 1
Date: 11/11/1968
Registered Representative ExaminationCurrent Firm
DANIELS + TANSEY, L.L.P.
CRD#: 127816 / SEC#: 801-62663
Contact information
Regulatory assets under management
| Total Number of Accounts | 923 |
| AUM (Assets Under Management) | $ 535,064,989 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/05/2023 | ||
| 03/08/2022 |
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.
