AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
WP

William R. Planer

CHARDAN CAPITAL MARKETS
NEW YORK, NY 10119
CRD#: 5163202
Some features on this profile are disabled
WP
William Robert PlanerCHARDAN CAPITAL MARKETS

Professional summary

William Robert Planer is a registered financial professional currently at CHARDAN CAPITAL MARKETS LLC located in New York, New York.

William is registered as a RR (Registered Representative) and started their career in finance in 2010. William has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Robert Planer's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

December 8, 2025 - Present

CHARDAN CAPITAL MARKETS LLC

Office #1: 1 Pennsylvania Plaza Suite 4800, New York, NY 10119
BD
CRD#: 120128
NEW YORK, NY
Past

May 19, 2010 - May 22, 2025

KEEFE, BRUYETTE & WOODS, INC.

BD
CRD#: 481
BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(12/8/2025)
RR
Colorado
(12/8/2025)
RR
Connecticut
(12/8/2025)
RR
Florida
(12/8/2025)
RR
Georgia
(12/8/2025)
RR
Illinois
(12/8/2025)
RR
Maryland
(12/8/2025)
RR
Massachusetts
(12/8/2025)
RR
New Hampshire
(12/8/2025)
RR
New Jersey
(12/8/2025)
RR
New York
(12/8/2025)
RR
North Carolina
(12/8/2025)
RR
Pennsylvania
(12/8/2025)
RR
South Carolina
(12/8/2025)
RR
Texas
(12/8/2025)
RR
Virginia
(12/8/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 7/14/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/18/2010
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

CC
CHARDAN CAPITAL MARKETS LLC
CHARDAN | THE GRAMERCY GROUP, LLC | CHARDAN CAPITAL MARKETS LLC | CHARDAN CAPITAL MARKETS

CRD#: 120128 / SEC#: , 8-65277

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Loading...

Contact information

Main Address
1 Pennsylvania Plaza Suite 4800, New York, NY 10119
Mailing Address
1 Pennsylvania Plaza Suite 4800, New York, NY 10119
Phone number
(646) 465-9000
Established
New York since 03/05/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (40 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CHARDAN SECURITIES, LLCMEMBER
GROSSMAN, JONAS SVEN MAGNUSPRESIDENT3186901
MILLER, ANDREW DAVIDFINOP5106774
MILLER, ANDREW DAVIDPRINCIPAL OPERATIONS CFFICER5106774
MILLER, ANDREW DAVIDPRINCIPAL FINANCIAL OFFICER5106774
SOUTHWICK, DWIGHT CHRISTIANCHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER1353036
URBACH, STEVEN AARONCEO4137317

Disclosures

Regulatory Event14

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.

Company Information

CHARDAN CAPITAL MARKETS LLC

CRD#: 120128New York, NY 10119

TRUST BUT VERIFY

Monitor William Planer

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Elizabeth Katz Miller
Elizabeth MillerAdvisorCheck Check Mark
SUMMIT PLACE FINANCIAL ADVISORS, LLC
IAR
SUMMIT, NJ
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Anthony J. Macagna
Anthony MacagnaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
PARAMUS, NJ
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.