William L. Sofield
Professional summary
William L Sofield is a registered financial professional currently at IDB CAPITAL CORP. located in New York, New York.
William is registered as a RR (Registered Representative) and started their career in finance in 2002. William has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William L Sofield's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 31, 2011 - Present
IDB CAPITAL CORP.
Office #1: 1114 Avenue Of The Americas, New York, NY 10036September 25, 2006 - June 20, 2008
IDB CAPITAL CORP.
January 28, 2005 - May 18, 2006
IDB CAPITAL CORP.
December 16, 2002 - January 19, 2005
HAPOALIM SECURITIES USA, 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
(4/1/2011)
Exams
FINRA
Current Firm
IDB CAPITAL CORP.
CRD#: 106032 / SEC#: , 8-53000
Contact information
FINRA licenses (29 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ISRAEL DISCOUNT BANK OF NEW YORK | SOLE SHAREHOLDER | |
| CASE, LESLIE KATHRYN | SECRETARY | 6058280 |
| CLANCY, PATRICIA ANNE | CHIEF OPERATING OFFICER, PRINCIPAL OPERATIONS OFFICER | 2753700 |
| FRAHER, NANCY ANN | DIRECTOR | 6132794 |
| GRANT, EDMOND F | DIRECTOR | 4058518 |
| KIM, EDWARD SANG | FINANCIAL AND OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER | 6702617 |
| ROBERTS, DANIEL G | DIRECTOR | 6986015 |
| SAVIO, KENNETH JOSEPH | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 1428851 |
| SAVIO, KENNETH JOSEPH | INTERIM CHAIRMAN OF THE BOARD | 1428851 |
| TREBLE, TIMOTHY | CHIEF COMPLIANCE OFFICER AND DIRECTOR | 1699773 |
Disclosures
| Regulatory Event | 1 |
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