William Lin
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 Lin, who also goes by William Jolly Lin, William Lin, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2018. William had worked at 5 firms and has passed the Series 63, Series 6TO, Series 22TO, Series 82TO, Series 99TO, Series 79TO, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2026 - September 3, 2026
FINALIS SECURITIES LLC
January 13, 2025 - July 29, 2025
DOMINARI SECURITIES LLC
March 15, 2022 - February 22, 2024
WELLS FARGO SECURITIES, LLC
December 23, 2019 - September 22, 2021
PICKWICK CAPITAL PARTNERS, LLC
September 19, 2018 - March 11, 2019
SIEBERT WILLIAMS SHANK & CO., LLC
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
What does exam status mean?
Series 6TO
Passed: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 22TO
Passed: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 82TO
Passed: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 99TO
Passed: 1/2/2023
Operations Professional ExaminationSeries 79TO
Passed: 4/1/2022
Investment Banking Registered Representative ExaminationCurrent Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
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.
