William P. Conners
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 Patrick Conners was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1970. William had worked at 1 firm and has passed the SIE and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 1970 - September 21, 2016
CONNERS & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 00
Date: 5/12/1970
General Securities Principal ExaminationCurrent 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.
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