William S. Magnus
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 Saul Magnus was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1976. William had worked at 7 firms and has passed the Series 63, SIE 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
December 1, 1995 - May 24, 2021
CONNERS & CO., INC.
September 27, 1993 - May 10, 1995
HUDSON VALLEY CAPITAL MANAGEMENT
October 4, 1991 - October 29, 1991
KEYBANC CAPITAL MARKETS INC.
November 2, 1989 - October 4, 1991
GRADISON & COMPANY INCORPORATED
January 19, 1987 - November 8, 1989
MERIT FINANCIAL CORPORATION
April 19, 1985 - January 28, 1987
FINANCIAL SQUARE PARTNERS
January 15, 1976 - April 25, 1985
MAGNUS AND 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
Current Firm
CONNERS & CO., INC.
CRD#: 1511 / SEC#: , 8-8228
Contact information
FINRA licenses (4 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONNERS, JOHN ANTHONY | CHIEF COMPLIANCE OFFICER/CHIEF FINANCIAL OFFICER | 52348 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
