William Joseph Collier
Professional Summary
William Joseph Collier, who also goes by William Joseph Collier, was a registered financial advisor. William was a previously registered financial professional and started their career in finance 1969 - 2013. William had worked at 12 firms and has passed the Series 63, Series 1 and Series 40 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
William Joseph Collier
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
57 years in the financial services industry
Current & Past Employments
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Current Firm
AMHERST SECURITIES GROUP I, L.P. | USARBOUR FINANCIAL CORPORATION | ARBOUR FINANCIAL CORPORATION | AMHERST SECURITIES GROUP, L.P. | AMHERST SECURITIES GROUP, INC.
Contact Information
Established
Texas since 08/04/2000Firm Type
PartnershipFiscal Year End
DecemberDocuments
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 |
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Mar 1969Series 40 — Registered Principal Examination
Passed Nov 1974Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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