William J. Collier
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 Joseph Collier, who also goes by William Joseph Collier, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1969. William had worked at 12 firms and has passed the Series 63, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2003 - October 4, 2013
AMHERST SECURITIES GROUP, L.P.
June 1, 2001 - September 25, 2003
LASALLE FINANCIAL SERVICES, INC.
February 12, 2001 - June 6, 2001
ABN AMRO INCORPORATED
February 29, 1996 - October 3, 2000
WACHOVIA SECURITIES, INC.
January 1, 1991 - February 9, 1996
MERIDIAN SECURITIES, INC.
April 20, 1988 - December 23, 1988
U.S. ASSOCIATES OF FLORIDA, INC.
August 21, 1987 - January 23, 1988
ADVEST, INC.
July 29, 1987 - August 7, 1987
ADVEST, INC.
July 1, 1987 - July 21, 1987
SWINK & COMPANY, INC.
February 27, 1987 - June 23, 1987
MCG PORTFOLIO MANAGEMENT CORP.
May 11, 1981 - April 25, 1985
E.S.M. SECURITIES, INC.
September 1, 1976 - January 25, 1985
MARSHALL AND MEYER BROKERAGE SERVICES, INC.
March 18, 1969 - January 7, 1974
WESTPAC POLLOCK & CO. 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
Series 1
Date: 3/14/1969
Registered Representative ExaminationSeries 40
Date: 11/13/1974
Registered Principal ExaminationCurrent Firm
AMHERST SECURITIES GROUP, L.P.
CRD#: 31141 / SEC#: , 8-45364
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMHERST ASG HOLDINGS LLC | HOLDING COMPANY | |
| ASG GENERAL PARTNER, INC. | GENERAL PARTNER | |
| BARTKOWIAK, DARLA KERLEE | CHIEF COMPLIANCE OFFICER/DIRECTOR | 1065868 |
| BROWNE, KEVIN JAMES | SVP/FINOP | 1304129 |
| COALE, STEPHEN LORING | DIRECTOR | 1292536 |
| DOBSON, SEAN ALAN | CHIEF EXECUTIVE OFFICER/DIRECTOR | 2009497 |
| MULLANEY, RICHARD RYAN JR | DIRECTOR | 1229830 |
| WALSH, JOSEPH NORTON III | PRESIDENT/DIRECTOR | 2804671 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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