William A. Scarfone
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 Anthony Scarfone, who also goes by William A Scarfone, William A Scarfone, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2003. William had worked at 9 firms and has passed the Series 66, SIE, 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
May 22, 2019 - September 5, 2025
IFP SECURITIES, LLC
March 23, 2018 - September 5, 2025
INDEPENDENT FINANCIAL PARTNERS
April 19, 2016 - December 6, 2017
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
January 19, 2016 - December 6, 2017
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
October 28, 2015 - December 3, 2015
PRUCO SECURITIES, LLC.
March 14, 2013 - October 31, 2014
FUNDS DISTRIBUTOR, LLC
June 26, 2012 - January 7, 2013
FINANCIAL WEST GROUP
May 21, 2008 - September 10, 2010
CHARLES SCHWAB & CO., INC.
April 2, 2007 - April 21, 2008
MORGAN STANLEY & CO. LLC
April 15, 2003 - April 2, 2007
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
IFP SECURITIES, LLC
CRD#: 297287 / SEC#: , 8-70150
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IFP GROUP, LLC | OWNER | |
| ACHESON, JEFFERY ALLEN | CHIEF BUSINESS DEVELOPMENT OFFICER | 706698 |
| GILMAN, AARON LEE | CHIEF INVESTMENT OFFICER | 5611425 |
| HAMM, WILLIAM CHRISTOPHER | PRESIDENT, CHIEF OPERATING OFFICER | 5814331 |
| HAMM, WILLIAM EUGENE JR | CHIEF EXECUTIVE OFFICER AND CHAIRPERSON OF THE BOARD OF DIRECTORS | 1227713 |
| JOHNSON, TORIAN | CHIEF COMPLIANCE OFFICER | 5363604 |
| MEJIA, OSCAR MIGUEL | FINOP | 5569235 |
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.
